UK regulation

The UK regulatory landscape is constantly evolving, with new FSA initiatives introduced and working practices regularly updated at a European level. The need for increased monitoring and reviewing of compliance procedures presents firms with a consistently challenging working environment, and Kinetic Partners works closely with its clients to ensure that its procedures and industry knowledge remains ahead of this changing landscape.

Our leading team of regulatory and compliance experts drawn from FSA, financial institutions, and major professional services firms continues to expand and provides a comprehensive and unrivalled range of regulatory and compliance services to the UK asset management, investment banking and broking industries including: 

• Alternative Investment Fund Managers Directive (AIFMD)
• Anti-money laundering
• ARROW preparation
• Audit of compliance and risk
• Client money and assets
• Compliance project management
• Compliance risk assessment
• Compliance support
• Due diligence projects
• FSA authorisations
• FSA reporting support
• Governance, systems and controls
• Hosted disclosures
• Market conduct
• Prudential
• Regulatory and compliance training
• SEC Registration for UK managers
• Skilled Person (s.166) appointments
• Trading venues
• Transaction reporting