Compliance Best Practices: How Do You Measure Up?

compliance guide

Download our Latest Guide: The Best Compliance Practices - How do you measure up?

Five keys to keeping regulators happy while you focus on your business.

Studies show that the cost of noncompliance is three times higher than the cost of maintaining a healthy compliance programme.

We’ve spent decades cultivating a depth of experience that allows our clients to rest easy, knowing they have industry-leading expertise at their fingertips. We’ve seen the good, the bad, and the ugly of compliance execution, and our guide covers the five best practices that are most important for any firm to master:

  • Understand FCA permissions and reporting
  • Manage conflicts of interest
  • Embed proper AML protocols
  • Avoid market abuse
  • Establish balanced governance

Wondering how you measure up? 

You’re in luck. Our guide explores each of the key practices outlined above, including the specifics of industry-leading execution—and when to sound the alarm.

You’ll learn:

  • Why even the best compliance programmes in the world are useless without one key step
  • What regulators view as peer group best practice (and what they don’t)
  • How internal communications impact regulatory compliance
  • Why collecting too much KYC data is nearly as bad as not collecting enough
  • How to save thousands per year on licensing
  • And more

Download Here