Brooklands provides a solution to all your Regulatory Compliance requirements.
Including the Regulatory Authorisations at firm and personnel level, access to our Compliance Infrastructure and a Compliance Team to implement the Infrastructure.
We adopt a proactive approach to Compliance aiming to demonstrate to regulators and investors that we exceed their expectations.
In order to provide Regulated Services and conduct Regulated Activities you may:
• Obtain your own license from the FCA to Manage a Fund (AIFM) or provide Advisory Services and be in need for ongoing compliance consultancy Services
• Obtain your own FCA license whilst Outsourcing the Compliance Function (Outsourced Compliance Officer)
• Operate as an Appointed Representative of Brooklands (Regulatory Hosting Platform)
Brooklands Compliance Services can be delivered in conjunction with the Operations Services. This allows the Compliance Team to “oversee” the Portfolio and generate Regulatory Submissions utilising internally generated Source Data. Our OMS provides pre-trade Compliance Checks ensuring Compliance with your Mandate and ensuring Regulatory Filings are Flagged.
Regulatory Authorisation Applications
Brooklands prepares and submits FCA and SEC Authorisation Applications for the Firm and Personnel.
We manage the process of building a bespoke infrastructure taking into account the size and nature of your business to a standard required to obtain regulatory approval. This includes but is not limited to:
• FCA Approved Compliance Manual
• Compliance Policies and Procedure
• SEC Approved Compliance Documentation
We liaise with the regulator throughout the regulatory approval process.
Brooklands has proven experience in delivering:
• FCA Firm Authorisation Applications
• FCA Personnel Authorisation Applications
• Extra-Territorial Permission Applications
• SEC Firm Authorisation Applications
• SEC “Blue Sky” Filings
Following authorisation our Compliance Consultancy Services
Following authorisation our Compliance Consultancy Services support your internal Compliance Team to ensure the Compliance Infrastructure is properly implemented and remains fit-for-purpose. We also assist in providing advice and solutions to arising Compliance issues as your business grows. We also provide Outsourced Compliance Officer solutions.
Looking to outsource the Compliance Officer function?
Compliance Officer and Money Laundering Reporting Officer “MLRO”
Brooklands provides its clients with an FCA approved and authorised Compliance Officer and MLRO who is available to guide you through the Regulatory environment.
Our Compliance Officer will:
• Implement the Compliance Infrastructure
• Conduct tailored Compliance Training for applicable personnel
• Draft Regulatory Reporting (GABRIEL, RegData, Connect Reporting, Annex IV and ADV)
• Update the Board and Senior Management
• Act as the Firm Contact Person to the Regulator
• Maintain Compliance Registers
Compliance consulting and implementation of the compliance infrastructure.
If you decide to have an in-house Compliance Officer and MLRO we can provide ongoing compliance consultancy Services.
Brooklands has developed a robust compliance infrastructure and culture which you can benefit from:
• We give access to our in-house built compliance portal which holds your library of compliance documents, manages the Compliance monitoring calendar and allows simple submission of the necessary compliance forms, declarations and attestations.
• We maintain FCA Registers and perform all regulatory filings.
• We review and approval all financial promotions making sure these are compliant with applicable marketing regulations across jurisdictions.
• We ensure all personnel are aware of their regulatory obligations by providing periodic compliance training and updates.
• Brooklands performs periodic compliance monitoring reports to demonstrate to regulators and investors that we are compliant at all times; not only for inspections.
Compliance consulting and compliance infrastructure’s implementation.
Benefit from Brooklands’s robust compliance infrastructure and expertise buy appointing us as your ongoing compliance consulting specialist. Our compliance consulting team can also implement and manage the compliance infrastructure on your behalf.
We give access to our compliance system which act as a depository of your compliance documents, manages the Compliance monitoring calendar, and allows submission of the necessary declarations and attestations. Our compliance consulting analysts will maintain FCA Registers and perform all regulatory filings, review and approval all financial promotions.
Looking to outsource the Compliance Officer function?
Brooklands also provides its clients with an FCA approved and authorised Compliance Officer and Money Laundering Reporting Officer “MLRO” who is available to guide you through the Regulatory environment.
Our Compliance Officer will: implement the Compliance Infrastructure; conduct tailored Compliance Training for applicable personnel; draft Regulatory Reporting (GABRIEL, RegData, Connect Reporting, Annex IV and ADV); update the Board and Senior Management; act as the Firm Contact Person to the Regulator; maintain Compliance Registers.
We provide you with compliance training
Furthermore, our compliance specialists will provide tailored compliance training for applicable personnel.
Brooklands ensure all personnel are aware of their regulatory obligations by providing initial and periodic compliance training and updates.
Our compliance training covers aspects such as AML, SM&CR , individual conduct rules, Data Security and Cyber Security.