At TCC we work in partnership with our clients to develop holistic solutions that balance their commercial and compliance obligations, and put the interests of their customers at the heart of all business decisions.
Asset managers are facing increasing regulatory scrutiny, with evolving requirements coming from both the FCA and EU regulators. Our horizon scanning and collaborative approach helps asset managers evaluate the potential impact of change on their operations, effectively adapt and leverage the opportunities it presents.
The FCA is increasingly focussed on asset managers’ culture and business models. A key part of satisfying these requirements is developing and maintaining an operating model that drives the desired behaviours and complies with the letter and spirit of the regulations. Being able to evidence that culture translates into positive customer outcomes and delivers value for money which is also an essential part of meeting regulatory requirements. Our pragmatic, evidence-based culture review highlights clear examples of cultural indicators that are positively or negatively aligned to the regulator’s expectations and enables cultural change.
We provide long-term, holistic risk and compliance solutions that fix your past, strengthen your present and protect the future of your business. Our services include, but are not limited to
- Compliance audits and reviews, including Section 166 Skilled Persons Reviews
- Regulatory Assurance
- Specialist Resourcing
- Financial Crime Risk Assessments
- Mock FCA visits and interviews
- Regulatory Due Diligence
- Regulatory Change: SMCR, MiFID II, Culture, ESG, Brexit
- Market Abuse Frameworks
- Risk Assessments