Guiding you through ethics and compliance regulation
Compliance reviews and process improvement
What we can do
We can help you identify where your compliance gaps are and what you need to do to fill those while remaining practical and commercial. We can support your business and its systems and processes to make the changes they need to.
What this means for you
We bring expertise to provide a comprehensive set of services to review and improve compliance across a whole range of business areas, bringing practical and operational as well as regulatory and compliance knowledge.
Investor assessments and assurance
What we can do
Working on behalf of investors or prospective investees we can carry out an assessment of the candidate business of regulatory “health”, whether doing that directly or in partnership with other advisors.
What this means for you
Our experience of practical compliance and operations means that the insight we provide is not just against the rules but also against the feasibility and demands of compliance, providing likely exposures an investor may face with regard to their chosen investments.
Senior managers regime and approved persons
What we can do
Our experience as former regulators and as individuals in roles approved by regulators means that we can provide advice and support to help prepare your Board and senior people to comply with the FCA’s and PRA’s requirements for senior managers in Financial Services firms.
What this means for you
You can access a combination of reviews, mock interviews, regulatory coaching and help to prepare and support senior executives and Board members.
Compliance and remediation support
What we can do
We need expert help with the volume and/or complexity of the compliance work you need to complete to satisfy the regulator’s requirements.
What this means for you
Etica can rapidly mobilise experts to provide a wide range of support services to a firm’s compliance capability at a firm’s point of need – whether that’s to support an unexpected remediation programme or respond to a regulator’s request for information.
Whistleblowing and speaking up
What we can do
We can create policy and frameworks through to undertaking investigations as part of introducing, improving and operating Whistleblowing arrangements, enabling them to be integrated effectively into the wider compliance and cultural environment.
What this means for you
We bring practical experience from an end to end perspective. We focus on the value of whistleblowing to staff and firms and to maximise that through sensible and workable arrangements.
Compliance culture delivery
What we can do
You may feel you need to have the right culture, but how are you supposed to know what this is, how to develop it and how to measure it?
What this means for you
Etica provides a unique culture development service and tools to enable clients to understand, enhance and monitor their culture to ensure it is supporting their business and compliance agenda.