Business Issue
A global FX brokerage required a comprehensive assessment of its compliance with key UK investment firm regulations. The firm sought a thorough review of its adherence to MiFID, EMIR, financial promotions rules, and governance standards to identify any regulatory gaps and areas for improvement.
Solution
fscom conducted a full "root and branch" review of the firm’s compliance framework, covering all relevant regulatory areas. Following the gap analysis, we developed a tailored 12-month remediation plan designed to close all identified gaps and elevate the firm’s compliance posture to best-in-class standards.
Benefits
The firm gained a clear understanding of its compliance strengths and weaknesses, along with a structured roadmap to address deficiencies. The remediation plan positioned the firm to meet regulatory expectations with confidence, while enhancing internal governance and operational resilience.
Client
Feedback
The client felt supported by fscom’s deep regulatory expertise and valued the practical, forward-looking nature of the remediation plan. They were left with greater assurance in the strength and sustainability of their compliance framework.
