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 the UK, US, Dubai and the Channel Islands
- Governance consulting and management information development
- ICAAP 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 UK, US, Dubai, Hong Kong, Singapore and Channel Islands regulations
- Access to our extensive network of experienced third party advisers, 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 info@tetractyspartners.com, or call the Managing Partner, Gary Pitts, on +44 (0) 7795 830 636.
Corporate Governance
Good corporate governance is not just a regulatory necessity for entities with a listing, it benefits unlisted companies too, reducing the cost of capital, making borrowing easier and adding value in the event of any sale of all or part of the business.
Good governance becomes even more important with the rising tide of financial crime legislation (the Bribery Act), increased fraud risk due to the economic climate and the potential for brand damage inherent in exposure to social media.
We offer:
- Advice to corporates and their advisers on the application of listing and exchange rules
- Board evaluation
- Reviews of corporate governance structure
- Strategies and structures for managing social media risk
- Governance and financial crime training
- Bribery and corruption controls review and development
- Data protection consulting
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 info@tetractyspartners.com, or call the Managing Partner, Gary Pitts, on +44 (0) 7795 830 636.
Charities
Good governance is critical for charities. Governance failings can lead to brand damage and loss of donor goodwill, not to mention the personal consequences for the trustees themselves. The added difficulty for charities is that often Board members are volunteers not necessarily close to the running of the charity and who only come together for committee meetings.
A well-chaired, diverse and balanced Board of Trustees will give a charity vigour and clarity and unanimity of purpose. In contrast, poorly balanced Boards fail to draw on the talents of their Trustees and fall prey to politicisation and in-fighting, or complacent apathy, which fails the charity, its staff and its intended beneficiaries.
We offer charities the benefit of our governance experience drawn from highly regulated and tightly governed sectors at rates that reflect charities’ needs to balance effectiveness and cost. We offer:
- Board effectiveness reviews
- Governance structure reviews
- Management information reviews
- Facilitation of full strategic reviews of the business
These are led by our Managing Partner, Gary Pitts, who has extensive governance experience in the corporate world and is an active charity trustee with an acute awareness of the constraints and difficulties Trustee Boards face.
We can structure these into fixed – fee packages that are affordable and that will help charities understand how they can improve their governance and draw on the full spectrum of experiences in the Trustee Board, without the worry of ever-increasing time-based fees.
This work can increase the creativity and effectiveness of the Board, which in turn can reinvigorate the purpose and effectiveness of the charity, helping its staff to deliver to the charity’s objectives more effectively.
Tetractys encourages all its staff to give their time to contribute to charity Boards so that they can approach any assignment for a charity with a real understanding of what it means to be a trustee and the practical difficulties they face.
For more information, please contact info@tetractyspartners.com or call the Managing Partner, Gary Pitts, on + 44 (0) 7795 830 636.