A reminder for those firms in receipt of a ‘Dear CEO’ letter under the heading of ‘Client Money & Asset Report’ that went out earlier this year (see Regulatory Roundup #8).
A response was expected from each recipient firm, although no specific date was given. The FSA has now started to send out a letter of reminder to those firms that have yet to respond; a deadline of 30 June is given.
With over 25 years of experience in the financial services industry, Complyport offers unparalleled expertise in regulatory compliance, ensuring your firm stays ahead of evolving regulations.
From AML audits to risk management and regulatory reporting, Complyport provides a full spectrum of compliance services, allowing you to streamline your compliance processes and focus on your core business activities.
We provide bespoke compliance solutions that are specifically designed to meet the unique needs of your business, ensuring that all regulatory requirements are met efficiently and effectively.
We provide bespoke compliance solutions that are specifically designed to meet the unique needs of your business, ensuring that all regulatory requirements are met efficiently and effectively.
Our team of seasoned professionals, including former regulators and industry experts, leads all engagements, offering deep insights and practical advice to help you manage compliance risks effectively.
Leveraging cutting-edge fintech, regtech and AI tools, Complyport enhances your compliance processes with advanced technology, ensuring accuracy, efficiency, and real-time regulatory updates. Our innovative solutions empower your firm to stay compliant while maximising operational efficiency.
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Successful FCA and EU Authorisations
Active Firms Receiving Regulatory Support
