Compliance (Compliance Officer and MLRO)

Brooklands provides its clients with an FCA approved and authorised Compliance Officer who is available to discuss and resolve any Compliance issues.

We adopt a proactive approach to Compliance aiming to demonstrate to regulators and investors that we exceed their expectations.

We ensure all personnel are aware of their regulatory obligations by providing periodic training and updates.

Above all, we understand that your reputation is your most valuable asset and our infrastructure is designed and built to ensure that no suggestion of impropriety can be levied.


Regulatory Hosting

Brooklands provides regulatory hosting under the Appointed Representative Regime.

Implementation of the Compliance Manual, Policies and Procedures

Implementation of the Compliance Monitoring Program (monthly/quarterly/annual tasks to review, test and monitor the compliance infrastructure).
Preparation of the Annual Report to Senior Management and Board of Directors (a review of the compliance infrastructure and consideration of any weaknesses/improvements).
Preparation of the Annual Money Laundering Report to Senior Management and Board of Directors.
Maintenance of the Restricted Security List; securities which the firm is prohibited to trade due to compliance issues (predominantly Insider Trading issues).
Review of PA Dealing confirmations (personal trades by the investment team to ensure there are no conflicts of interest or Market Conduct issues).
Initial and Annual Competency Reports on regulated individuals.
Provision of Regulatory Compliance updates (new or amended regulations).
Responding to any ad-hoc compliance issues from your team on an arising basis.

Compliance Training

We provide with initial (and periodic) training focused on the following areas:

High Level Compliance: duties to the FCA, your investors and your firm.

Investment Compliance: explanation of Market Conduct rules, Personal Account Dealing and Best Execution procedures.

Marketing Compliance: training in relation to marketing regulations, Financial Promotions, and Suspicious Transactions.

Maintenance of FCA Registers

Conflicts of Interest, Gifts and Entertainment, Bribery and Corruption, Operational Events and Breaches, Financial Promotions.

Regulatory Filings

FCA Gabriel Reporting, AIFMD Annex IV Reporting, SEC ADV Reporting, CFTC Form PF Reporting.

Marketing Compliance

Compliance with applicable marketing regulations across jurisdictions Review and approval of financial promotions.