Brokers.
From FCA authorisation to transaction monitoring and annual compliance meetings – our full spectrum of support keeps you ahead of regulatory changes, minimises compliance risks, and increases your authority with regulators and clients.
FIT-FOR-PURPOSE FRAMEWORKS FOR BROKERS
The broad reach of the broker role can extend your risk exposure across multiple regulatory frameworks – from MiFID II and EMIR, to Consumer Duty and sanctions regimes. This places pressure on internal compliance teams to not just interpret and implement these rules, but to continuously monitor compliance, respond to queries, and prepare for regulatory inspections.
At Cosegic, we streamline and simplify compliance by embedding it directly into your everyday workflows. Whether it’s integrating AML and KYC principles into client onboarding or delivering employee training that makes following the rules second nature. This creates robust, compliant processes and audit-ready records that protect your business and withstand rigorous regulatory attention.
