Expert regulatory support to meet your evolving business goals

We are regularly told that one of the biggest concerns facing the senior management teams of Discretionary Firms is how to achieve cost-effective regulatory compliance. Faced with thousands of pages of rules books and the difficulty of benchmarking their firm against regulatory expectations and industry best practices, even with experienced personnel, many senior managers find the demands of regulatory compliance to be worrying and burdensome.

Personalised, regulatory support sits at the heart of the Signature proposition. Signature employs dedicated discretionary asset management and wealth management experts with extensive experience and demonstrable track records of achieving sensitive, sensible, regulatory compliance oversight and advice in award-winning firms.

Our senior team has all held first line C-suite and 'Head of' roles and intimately understand the cost and commercial considerations of effective regulatory compliance. We are intensely practical about creating solutions, not just identifying issues. Our clients also benefit from award-winning regulatory help desks and specialist support delivered by a team of more than 60 experienced staff members, including many industry-leading experts in their specialist areas.

We work with Discretionary Firms to grow and adapt their business model through integrated, scalable and expert commercial and regulatory support services designed to meet evolving business goals. Whether you wish to bolster your existing compliance team, outsource specific compliance work or utilise a 'check the checker' service, Signature can help.

Signature is dedicated to supporting Discretionary Firms, but where you need to integrate your approach with your wealth management or distribution business arms, we are part of the Fintel group and integrate seamlessly with our SimplyBiz advisors orientated compliance services.

Our clients receive tailored independent reviews, offering everything from full compliance audits to periodic file reviews, which relieve crucial internal pressure and provide vital market context to the changing regulatory landscape.

As well as providing bespoke services, we also offer access to a broader range of core services, each personalised to your needs where required. Our scalable services include direct access to our senior consultants, regulatory horizon scanning, regulatory change advice, and membership advocacy services. Furthermore, we work with Discretionary Firms to address regulatory capital, ICARA, PROD, product, and fund launch support and provide exclusive access to our extensive online documentation resource, highly experienced compliance and pensions technical helpdesks, and regulatory bulletins and guides.

 

Investment Firm Prudential Regime

The new Investment Firm Prudential Regime (IFPR) came into effect on 1 January 2022. Over the past few months, we have shared monthly updates to our clients including comprehensive guides to understanding IFPR and its implications for Discretionary Firms. If you'd like to receive a copy of our IFPR guides, contact us today at info@signature-support.co.uk

 

 

Our regulatory services at a glance

  • Time-effective, insightful 'diagnostic' audits and reviews identifying the issues you need to address (and confirming where you are doing well) based on decades of experience advising hundreds of firms
  • Specifically tailored remediation plans and support to help you close down open issues. We won't just tell you what you need to address but will help you build the solutions efficiently and cost-effectively.
  • Outsourced compliance coverage. Many firms utilise our services for cost-effective coverage of their regulatory needs and as a 'dial-up/dial-down' capacity resource when existing teams are fully occupied with existing tasks
  • A track record of helping clients to unitise their offerings into cost and distribution effective funds through tailored advice and unitisation project support from design to go live
  • Up to date, insightful regulatory intelligence and 'early warning' content to keep you ahead of regulatory demands
  • Best practices for investment governance and investment oversight
  • Review of Investment Committee processes and outputs and independent representation by team members who have sat on industry-leading investment and risk committees. We are investor and investment centric in our approach – your team speaks your language
  • Best practices for your investment team's daily activities
  • Due diligence processes on funds / third parties
  • Extensive experience in building scalable and safe pre and post-trade compliance and operational risk controls
  • Mitigation of complaints risk through comparative review of financial promotions versus real portfolios and critical investment team record keeping
  • ESG / customisation and tailoring and risk considerations
  • CPD / regulatory training and events

Contact Us
Insights
To talk to us about Signature,
please call the team on 01484 443 431

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