The Jurisdictions We Cover.

Many of our clients operate on a cross-jurisdictional basis and are subject to the authority of numerous regulators internationally.  AM Compliance is able to assist with both UK and US regulatory obligations and our compliance consultants are fully conversant with the rules and regulations of the FCA, SEC and the NFA / CFTC. 


We design each client’s compliance arrangements around their particular activities and put in place a compliance monitoring programme, compliance manual and suite of ancillary compliance policies and procedures which encompass the standards required to comply with all relevant requirements.

 

UK Jurisdiction | Click Here

FCA authorised firms may be subject to one or more differing regulatory regimes, depending on the nature and size of the firm and the type of regulated activities they undertake.  AM Compliance has experience working with regulatory obligations falling under MiFID, AIFMD and UCITS.


We are able to assist with all areas of compliance work, including:-

  • Drafting and ongoing update of a core suite of compliance policies & procedures
  • FCA authorisations and Variation of Permission applications
  • Ongoing regulatory review and advice
  • Assessment of the firm’s governance arrangements and internal systems and controls
  • Developing and/or managing the compliance monitoring programme
  • Regular compliance reporting to senior management and/or the fund board
  • Individual FCA approval applications
  • ICAAP review & Pillar 3 disclosure
  • Marketing arrangements and permissions
  • Financial promotions
  • Counterparty and third party service provider arrangements and periodic due diligence
  • Anti-money laundering arrangements and controls
  • Regulatory reporting
  • Provision of training to the firm
  • Assistance during regulatory audits

US Jurisdiction | Click Here

In addition to the general UK compliance requirements, standalone US regulatory tasks may include providing assistance with:

  • The registration process with the various regulators, both at firm and individual level
  • Drafting and ongoing update of compliance policies & procedures which are US regulation-compliant
  • Regulatory reporting
  • Investor reporting
  • Regulatory advice
  • Marketing arrangements and permissions
  • Pool exemption filings
  • Annual compliance overview and review for SEC and/or NFA/CFTC compliance reporting purposes
  • Financial promotions
  • Training