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Our corporate and company secretarial services enable our clients to ensure statutory compliance obligations with practical and procedural support. We support all aspects of your corporate secretarial requirements and operations to maintain the highest standards of corporate governance.
FCA Financial Regulation
and Compliance Services
Simpla provides bespoke FCA and PRA regulatory support and consulting assistance to newly started or firmly established businesses operating throughout Europe in the fields of:
Simpla provides bespoke FCA and PRA regulatory support and consulting assistance
To newly started or firmly established businesses operating throughout Europe.
Discretionary and Advisory Investment Management
Solicitor Asset Management
Wealth Managers
Legal Firms
Actuarial Firms
Accountancy
Stockbroking
Venture Capital
Corporate Finance
Custody and Third Party Service Providers
Investment Funds
In the fields of:
Keeping on the right side of the ever-increasing rules and guidance from the financial regulators takes time and effort. We work with clients through formation, those seeking to acquire or organisations simply requiring ad-hoc consultancy to remain compliant.
Review of existing compliance structures and documentation
Preparation of manuals and risk-based monitoring programmes
Provision of training on anti-money laundering or other topics
Routine compliance monitoring or reviews
Due diligence on acquisitions or third parties, such as custodians
Authorisation, enforcement, investigation or supervision projects
Assistance with pre-screening compliance staff appointments
Advertising and publications checking
SEC IA Annual Compliance Reviews
Custody and Third Party Service Providers
Other services of a bespoke nature by arrangement
Services we provide:
Our client base covers venture capital managers, stockbrokers, investment firms, banks, financial intermediaries, insurance brokers, legal and accountancy firms – many on repeat assignments. Engagements vary from basic application work through due diligence to enforcement advice and resolution.
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