Compliance Services
Whether you are an established broker or just entering the brokerage space then compliance will be the largest single infuence on how you will run and manage your business. We are able to guide you through this complex arena.
Solutions covered include:
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Compliance technology
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Compliance audits and advice
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Applying for new permissions and licences globally
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FCA Connect and RegData services
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Monitoring tools
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AML and financial crime training
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Policies and procedures
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Buying and selling of trading businesses and licences
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Change in Control (CiC) applications
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Compliance audits
Compliance Technology
Much of your compliance requirements can be automated and we are working with some of the indusrties most innovative RegTech providers to guide you through this complicated area. Whether it is the process of onboarding that is causing your business issues or the ability to simply report the appropriate information to the necessary authorities, then FTCS will be able to help you find the best technology for automating these processes.
