Welcome
Smaller firms said that they could not justify employing in-house compliance officers but had some difficulty finding consultants ... The FSA said this was “not a valid excuse” for failing to meet regulatory standards.
Regulatory compliance is one of the top concerns for financial institutions.
Le Marchant Regulatory Risk Services provides a range of compliance and risk management services to the private and public sectors. Its principal is Chris Le Marchant: a highly experienced former senior regulator. Chris’ CV is available here. We specialise in providing reviews, advice and support to banks, investment fund managers, fiduciary firms, and regulatory bodies. We provide solutions to firms seeking to enhance their compliance or risk management resource and also help clients to address specific regulatory issues.
Le Marchant draws on a range of associates, all of whom are experienced professionals in their fields of business, to assist us in providing our services.
Our aim is to help clients to meet regulatory requirements in a cost effective manner, offering experience and pragmatism.
Services we offer include:
- Compliance reviews
- Compliance/MLRO support
- Anti-money laundering and due diligence advice
- Preparing or reviewing policies and procedures
- Assistance in liaison with regulators
- Assistance with anti-money laundering training
- Basel II implementation advice
- Assistance with credit business
- Searches
- Proofreading and business writing
- Licence applications
- Public sector services
- Reviewing outsourcing arrangements