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Ongoing compliance support

As digital technology and innovation continue to push the boundaries in financial services, the regulatory regime is a moving target. It’s a daily challenge to keep up, to comply (and to prove that your business complies) with all relevant legislation. Not everyone has – or needs – a dedicated compliance officer and even organisations who do have a full-time compliance team find they need extra resources from time to time, or an external perspective on their regulatory issues.

Our compliance support service can help. Drawing on our long experience of working with financial services companies, institutions and regulators, we’re offering ongoing compliance support. For a fixed monthly fee, you’ll get

  • expert help for preparing and maintaining your compliance framework, including policies, procedures, manual and monitoring
  • independent oversight and challenge for your compliance activities
  • annual compliance training for employees
  • support for regulatory filing and inspection visits
  • access to our programme of seminars, webcasts and regulatory updates
  • ad hoc general advice and practical support
  • ‘regtech’ software solutions that make compliance simpler

We’ve designed our compliance support service so that it can be tailored to fit pretty much any business operating in the UK financial services sector. That includes payment services and e-money (including AISPs and PISPs and other types of firm involved in open banking), consumer credit firms, asset managers, fintechs, banks and building societies, insurers and insurance brokers, broker-dealers, financial advisors and robo-advisors, commodities and spread betting firms, and those engaged in corporate finance.

You can read more about our ongoing compliance service here, or contact Jake Ghanty or John Drabble for more information.

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The hottest topics in technology
  • Adtech & martech
  • Agile
  • Artificial intelligence
  • EBA outsourcing
  • Brexit
  • Cloud computing
  • Complex & sensitive investigations
  • Connectivity
  • Cryptocurrencies & blockchain
  • Cybersecurity
  • Data analytics & big data
  • Data breaches
  • Data rights
  • Digital commerce
  • Digital content risk
  • Digital health
  • Digital media
  • Digital infrastructure & telecoms
  • Emerging businesses
  • Financial services
  • Fintech
  • Gambling
  • GDPR
  • KLick DPO
  • KLick Trade Mark
  • Open banking
  • Retail
  • SMCR
  • Software & services
  • Sourcing
  • Travel
Kemp Little

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Kemp Little

138 Cheapside
City of London
EC2V 6BJ

020 7600 8080

hello@kemplittle.com

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Kemp Little LLP is a limited liability partnership registered in England and Wales (registered number OC300242) and is authorised and regulated by the Solicitors Regulation Authority. Its registered office is 138 Cheapside, London EC2V 6BJ. The SRA Standards and Regulations can be accessed by clicking here.

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      • Home
      • Our people
      • Services
        • Business restructuring and reorganisation
        • Commercial technology
        • Consulting
        • Corporate
        • Data protection & privacy
        • Digital content & reputation risk
        • Disputes
        • Employment
        • Financial regulation
        • Immigration
        • Innovation
        • Intellectual property
        • Private equity & venture capital
        • Sourcing
        • Tax
        • Travel
      • Resources
      • Insights
      • Covid 19: Your Business Continuity
      • Events
      • About us
        • Who we are
        • Our social responsibilities
        • Our partnerships
        • Join us
      • Contact us
      • FlightDeck
      • LORCA
      • Sign up for our newsletters
      • Follow us
        • Twitter
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