Compliance

A Brief Overview

Active Group provides regulatory and compliance consultancy and support to financial services business either during their pre‑licensing or post‑licensing stages. Active is highly experienced in these areas in a variety of jurisdictions and industry sectors and is perfectly resourced to assist you with your compliance and related requirements.

The depth of knowledge and our practical hands‑on experience provides licensed firms with cost efficient and effective support.

Key Attributes

• Pre‑licensing assistance and advice including liaising with the regulators on the licensing requirements and preparing the licence application forms and supporting documentation as required:
• Post‑licensing regulatory and compliance support which may include the services of a Compliance Officer and/or Money Laundering Reporting/Prevention Officer or support to a client’s in‑house officers;
• Preparation and ongoing maintenance of Compliance and AML Manuals;
• Regular updates on changes in regulations, rules etc as relevant to a client’s business;
• Staff training;
• Due diligence and regulatory health checks;
• General consultancy on all matters of a regulatory or practical compliance matter.