Services

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Authorisation Process

Demonstrating you are ‘Ready, Willing and Organised’ is a key part of being a regulated firm. When applying for authorisation you will need to show the FCA you have the required understanding of your business; have the necessary funding and employ personnel who have the required knowledge, skill and expertise. We will guide you through the complex process of obtaining authorisation by helping you to understand what is required and expected of a regulated firm. We will build your regulatory framework to ensure you can demonstrate robust systems and controls, resourcing and policies and
procedures.

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Business Advisory Services

Is your business undergoing a restructure or providing new product and service offerings? You will need to evaluate the impact on the compliance risk faced by your firm. We provide compliance advisory services on a retained or ad hoc basis to help reduce compliance risk.

Our staff have many years of in house experience on bringing about cost effective solutions to a firm’s compliance function.

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Risk Assessments & Monitoring Programmes

Risk assessments are the basis for identifying your compliance risks and ensuring you have the appropriate control framework in place to manage your risk appetite. We have specialists who can help with your compliance risk assessment, market abuse risk assessment, AML risk assessment, client risk assessment and PEP risk assessment in order to ensure you take a proportionate risk based approach to building your compliance monitoring programme.

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What they say about us…

We have worked with Apollo Compliance for some time. They provide excellent compliance support and advice and their input has been critical for our Compliance function.
General CounselFintech
Initially, we sought assistance in implementing several policies and procedures, which also required training and monitoring to establish our foundational Compliance offering. Over time, their support has expanded to include organising and leading training workshops which have received very positive feedback from the business.
Head of ComplianceMultinational plc
Their consultants have a wealth of industry experience and are always proactive in their support to our firm. We would highly recommend Apollo Compliance to anyone who needs a knowledgeable and reliable service.
Senior PartnerConsulting Firm
We have been working with Apollo Compliance for several years now, and their flexible, intuitive approach has been integral to the growth and development of our Compliance program.
Head of ComplianceGlobal Corporation
They are professional, adaptable, and consistently produce materials of the highest standard.
Head of ComplianceLeading European Firm
We would highly recommend Apollo Compliance to anyone who needs a knowledgeable and reliable service.
Senior PartnerFintech

Compliance Remediation

We help firms prepare for s166 Skilled Person reports and undertake project work to remediate subsequent findings and recommendations from such reports. Undertaking remediation work is a time consuming and costly exercise which has to be undertaken in addition to a firm’s daily business activities. As practitioners, we have had to deal with these reviews ourselves and understand the disruption they can cause. The importance of an independent third party to help undertake the work cannot be understated.

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Prudential Regulation

The new Investment Firms Prudential Regime (’IFPR’) can be daunting depending on the type of firm. Whether it is your ICARA, WDP or disaster recovery preparations, or understanding your funding and liquidity requirements we have prudential regulatory specialists who have spent many years at the FCA and were instrumental in helping firms transition to the new regime.

We can also support in completing your regulatory requirements and submitted your regulatory returns.

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Monitoring and Assurance

We offer monitoring and surveillance expertise. We have team members who previously worked at vendor solution providers and understand compliance systems and whether they are appropriate for your business activities without spending a fortune on inappropriate technology. We can also offer assurance work looking into the effectiveness of your control framework.

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Training

We offer a unique approach towards training and audience participation whilst removing unnecessary regulatory rhetoric and jargon. Our training sessions deliver key messages using practical examples relevant to your business whilst ensuring the significance and importance of compliance is never overlooked.

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AML Services

With financial crime being an increasing area of concern for regulators, it is important you have taken the necessary steps to manage your AML risks including having appropriate enhanced due diligence arrangements. We have several AML specialists who can assist you with your client onboarding framework, client file reviews, policies and procedures and PEP analysis whether domestic or international.

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Expert Witness Services

We provide independent expert witness services for clients involved in disputes in the financial services industry and have been involved with some significant enforcement cases.

Our experts primarily act as the expert witness in a dispute, opining on different financial issues principally focused on compliance frameworks. Our case management team provides research, analysis, drafting and hearing preparation on expert appointments.

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