My Compliance Centre supports the wide range of compliance activities carried out by firms in the Capital Markets sector. This includes Compliance Monitoring, Personal Account (PA) Dealing and Employee Attestations.
While Banking business models vary significantly, the regulatory pressure of being regulated by the FCA and PRA are consistent across all Banks.
Capital Markets firms continue to face unprecedented regulatory pressure. The FCA has made it clear that it expects Capital Markets firms to demonstrate robust SMCR and governance controls to sit alongside traditional compliance controls such as compliance monitoring and employee compliance. Internal compliance teams have a wide range of responsibilities to deliver a comprehensive compliance framework as expected by their boards.
My Compliance Centre supports these activities in numerous different ways.