FCA Compliance

Contact Us

Please contact us to obtain more information on any of the above services.

Tel: +44 (0)20 7958 9127
Email: compliance@robertquinn.co.uk

We can provide a wide range of services, and integrate our advice with your U.S. obligations as well:

FCA Applications, Variation of Permission & Change of Control

We offer a premium service to manage your applications, draft the content to meet the FCA’s expectations, communicate with the regulator and provide the appropriate policies and procedures.

Ongoing Monitoring

We provide a wide range of FCA compliance monitoring services where we visit you on a weekly, monthly or quarterly basis. We also can provide CF10 support in certain situations. We typically like to work with clients on an ongoing basis because it allows us to better understand your business.

We kick off our ongoing monitoring services with a comprehensive initial assessment to learn about your business and identify any priorities.

Mock Audits and Projects

We can perform mock audits on all or part of your business. Examples of recent reviews and advice include:

  • MiFID II Gap Analysis
  • AIFMD vs MIFID II Gap Analysis
  • Corporate Governance & SYSC
  • AIFM Reporting to Fund Board
  • Remuneration
  • Conflicts of Interest
  • Conduct of Business
  • Retail Distribution Review
  • Client Onboarding
  • Disclosure Documents for UCITS and PRIIPS
  • Customer Due Diligence for AML
  • Passporting & Private Placement

Policies and Procedures

We can provide you with a range of comprehensive policies and procedures drafted by our experts.

“We trust Robert Quinn Consulting to guide us in all matters FCA compliance-related.”

COO, UK Hedge Fund

MiFID II

Our team of senior consultants can help you with all aspects of the transition to MiFID II, including:

  • Application to AIFMs and UCITS managers
  • Best Execution
  • Commodity Derivatives
  • Transaction Reporting
  • Algorithmic & High Frequency Trading
  • Product Governance
  • Remuneration
  • Use of Dealing Commission
  • Conflicts & Inducements
  • Investment Advice