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REGULATORY ADVICE

FCA Compliance Advice That Moves With You

Ongoing partnerships with our clients are where we provide our most valuable support at Adempi London UK

The regulatory landscape doesn’t stand still. Neither should your compliance support. Adempi’s compliance advice services are responsive and tailored to your firm's stage of growth.

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Our team of regulatory advisers are experts in the rules for FCA authorised firms, but what sets them apart is that they know how to make those rules make sense for your business.

 

From day-to-day compliance and financial crime queries to one-off projects when you need an injection of strategic and technical expertise. As your business evolves, we’re with you every step of the way.

REGULATORY LANDSCAPE

Adempi undertake one-off projects for clients who need expertise at a particular point in time

WHERE
WE
ADD
VALUE

Our advisory support spans a wide range of areas that impact FCA regulated firms. Here are some examples:​

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  • CASS client money and assets

  • Capital requirements and prudential regimes

  • Financial promotions and marketing

  • Fitness and propriety of staff

  • Preparation for FCA visits and interviews

  • Financial crime

  • AI governance

  • Data protection

  • FCA permissions

  • Firm structure and personnel changes

  • New products and business lines

  • Due diligence on FCA regulated firms​

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