Financial & Credit Businesses

Regulation & Compliance Services for Financial & Credit Businesses

There is a variety of financial and credit businesses that the Regulation & Compliance Office works with.

Some of these include:

• Credit businesses
• Money Transfer businesses
• Currency Exchanges
• Bureau De Change
• Asset Finance (see also Banks and Lenders)
• Leasing (see also Banks and Lenders)

Finance and Credit businesses vary in terms of size and complexity. Regulation & Compliance Office works with both small and large organisations with multiple offices/branches on and offshore.

We will always develop our solutions to ensure they meet the particular needs of the business, and whether as part of an internal compliance team or as an outsourced offering, our services will always meet the requirements of any business.

With financial sanctions and fines for non-compliance on the rise, ensuring an organisation does not fall foul of compliance standards should be a continual priority. Working within the requirements of the regulator is mandatory and should remain a primary concern for all Finance & Credit businesses.

Regulation & Compliance Office is an independent body, meaning we can fulfil this function not only by providing general support but also as an independent audit function to assist with overall compliance strategies.

Our Finance and Credit business services include:

• Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) compliance
• GDPR and Data Protection compliance
• Financial investigations
• Complaint investigations, management and handling
• Bribery Act 2010 compliance
• Treating Customers Fairly compliance
• Employment Regulations compliance

To discuss how RACO can work with you on an individual assignment or as an outsource provider, you can call us on 0203 985 8550 or email us at info@regulationandcomplianceoffice.co.uk