Compliancy Services launch service solutions for Capital Market firms

Posted on: 17 August 2020

Written by: Kumar Ved

Capital Market firms are increasingly seeking additional compliance assurance or to outsource some or all of their compliance functionality. It’s being driven by increasing regulatory compliance demands, a spectre of greater personal liability that particularly arises from the Senior Managers and Certification regime, and a focus on costs.

Having the right compliance consultancy partner can enhance a firm’s own internal capabilities and ensure they have the appropriate resources, skills, knowledge and experience to manage their regulatory compliance obligations.

Cosegic already support hundreds of firms in numerous ways, for example through regular compliance monitoring, reviewing or managing regulatory returns, online and classroom training, benchmarking and compliance assurance reviews. From smaller firms seeking someone to manage their compliance, through to larger firms looking for specialist skills to fill resource gaps.

Kumar Ved, explains “Having examined Capital Market sectors and listened to our clients, we wanted to bring a genuinely fresh perspective. A transparent suite of solutions combined with a distinctive individual approach that results in a bespoke support package that gives out clients compliance assurance, peace of mind and value for money.”

Firms can choose a Compliance Healthcheck, that offers a more detailed evaluation of the effectiveness of compliance policies, procedures and systems and helping firms to address any issues that are identified.

According to Philip Naughton, CEO of Cosegic, “what really helps us stand out is the access our clients get to our unique Compliance Select client portal which offers a range of benefits that include tools to help firms manage their compliance, customisable document templates, and relevant regulatory development updates.”

Related resources

All resources
iStock 1437539329 Article

The FCA’s anti-greenwashing rule and supporting guidance: what do firms need to do?

iStock 1174872671 Article

FCA introduces new Form A for Senior Manager and Controlled Function applications

iStock 1181983763 Event

Webinar: Immediate Consumer Duty priorities and how to achieve customer understanding

iStock 177123758 Article

The FCA publishes its proposals on research payment optionality, but with “guardrails”