Service Details
In today’s rapidly evolving financial landscape, keeping pace with FCA, PRA, and MiFID II regulations is a constant challenge. ABR Paraplanning’s Compliance & Regulatory Support services act as your dedicated compliance partner, ensuring your firm not only meets current standards but anticipates future regulatory shifts. We go beyond box-ticking—we embed compliance into your daily operations, from client onboarding to ongoing monitoring, so you can focus on growth without compromising on governance.
Our team provides end-to-end compliance solutions, including policy drafting, staff training, and mock audits. We specialize in high-stakes areas like AML/KYC checks, Consumer Duty adherence, and cross-border regulation compliance. With real-time regulatory updates and tailored action plans, we help you navigate complex requirements while minimizing operational disruption. Whether you’re preparing for an FCA review or implementing new reporting standards, we ensure your firm remains audit-ready 365 days a year.
Leveraging cutting-edge compliance tools, we automate routine checks, monitor transaction red flags, and maintain immutable audit trails. Our systems integrate seamlessly with your existing platforms, providing real-time alerts for potential breaches and actionable insights to strengthen controls. From small advisory firms to large wealth managers, we scale our support to match your compliance burden—turning regulatory complexity into a streamlined, stress-free process.
Comprehensive compliance health checks with prioritized remediation roadmaps to address FCA/PRA vulnerabilities.
End-to-end anti-money laundering support—from client screening to suspicious activity reporting (SARs).
Full alignment with FCA Consumer Duty rules, including fair value assessments and client communication audits.
