Financial Services Regulatory Compliance
Compliance consultancy is at the heart of what Tetractys does. We have extensive experience drawn from a range of sectors (including experience working at regulatory bodies), with a particular focus on the issues facing the smaller, wholesale sector (hedge funds, private equity, corporate finance boutiques and brokerages).
We want to build long-term partnerships with our clients where we both advise and support the implementation of changes and projects with practical, hands-on support. Our fees are kept sustainably low by our business model.
We offer:
- Flexible ongoing onsite resource to support compliance officers with other responsibilities (especially relevant for boutique firms)
- Applications for authorisation and variation of permission in Ireland, UK, US, Dubai and the Channel Islands
- Governance consulting and management information development
- ICARA and business plan development
- Compliance audits
- Support and training in handling investor due diligence visits, regulatory visits and s166 reviews
- Compliance training (compliance, financial crime/bribery and corruption/insider dealing and data protection)
- Experience of Ireland, UK, US, Dubai, Hong Kong, Singapore and Channel Islands regulations
- Access to our extensive network of experienced third-party advisors, including capital raisers, US QIB/Tax experts, risk specialists, specialist law firms, employee screening firms and pension fund investment consultants
- Discreet investigations
We can also engage external specialists to help with problems requiring specific expertise. We would be happy to discuss capped-fee arrangements for any of the above.
For more information, please contact [email protected]