Compliance services
Regulatory advice
Axiom’s appropriate and timely advice may be the information that prevents the Financial Services Authority ("FSA") from fining, restricting or closing down your firm.
Our extensive regulatory knowledge and relations with the regulator mean that we are well placed to provide up to date advice on achieving compliance in a broad range of banking and financial services areas including:
- The regulatory regime appropriate to your firm
- FSA regulations
- Money laundering prevention
- Financial services directives
- Operational risk
- Training and competency
At your request Axiom will provide you with on-going or ad-hoc compliance advice as you need it.