Lohfeld Consulting Group’s Post

Would you like to conduct a final compliance verification against Alliant 3 Amendment 3? If so, please download our free Alliant 3 Strategy and Tracking Tool. Click here to download the tool: https://lnkd.in/eZW-6nip #Alliant #Alliant3 #GSA #Proposal #Compliance #ComplianceReview #AlliantAmendment3 #Amendment3 #LohfeldConsulting

The FCA has issued updated guidelines for firms with #OverseasAppointedRepresentatives (#OARs). Key #Compliance points listed in the update include:   -   Enhanced oversight to manage jurisdictional, cultural, and regulatory differences.   -   Ensuring OAR activities do not pose undue risk to consumers or market integrity.   -   Revisiting AR agreements to ensure adherence to #FCA rules.   To stay informed on how to meet these expectations and maintain your compliance with the FCA's updated guidelines, read more here:   https://lnkd.in/dhpUJ49e

The #FCA's latest press release reveals gaps in monitoring #AppointedRepresentatives (ARs).   Principals must ensure robust documentation, avoid 'tick-box' oversight, and conduct thorough annual reviews.   #Compliance requires proactive monitoring and clear #ARAgreements to avoid regulatory breaches. Failure to meet these standards may prompt swift FCA action. Stay vigilant and maintain rigorous oversight.   Read more about the FCA’s findings and recommendations here: https://lnkd.in/ecXC6sZg

#IntelligentAutomation and #RPA have multiple application for regulatory and #compliance services. Kevin Caravella explains how SS&C uses #digitalworkers to support it Blue Sky compliance service. Learn more here: https://lnkd.in/e5zdm4qM

💡Two years have passed since the FCA introduced its new rules aimed at improving standards in the Appointed Representative (“AR”) sector. As a follow-up to those rules, the FCA has now published its findings of its recent review on how well the market has responded to those rules. The headline finding is that “Oversight of ARs improving but there is still more to do”. Click here to read more 👉 https://lnkd.in/e6ncmSjS #AppointedRepresentative #AR #FCA #Complyport #FinancialServices #RegulatoryCompliance #Compliance #Regulations

IQ-EQ’s Global Compliance team can support your business in navigating complex regulatory requirements. From compliance monitoring to regulatory reporting, we’re here to tailor solutions that fit your needs. Reach out today to explore how we can assist. #Compliance #RegulatoryCompliance #GlobalSolutions #IQEQ

As with a lot of new standards, there is still a lot of work to be done by some firms to meet regulatory expectations. #fca #appointed #representatives #principal #compliance #monitoring

Navigating compliance across 50 states isn’t easy, but RASi makes it manageable. With a combination of technology, competitive pricing, and reliable service, we help businesses stay on track and focus on what matters most—growing and thriving. It’s great to see so many companies place their confidence in us to deliver exactly what they need, every time. If compliance is on your radar, RASi is ready to support your business every step of the way: https://bit.ly/3YAfK13 #rasi #registeredagent #compliance #corporateservices #businesslicensing #incorporations #ucc #independentdirectors

Harnessing technology for compliance is essential in today’s digital age. Our FCA Regulatory Compliance Consulting explores innovative solutions that seamlessly integrate with your operations to enhance regulatory adherence and reduce human error. Let’s leverage technology together.Book your discovery call to see how we can help you at https://bit.ly/CCDiscovr. #Compliance #FCA #SRA #RegulatoryCompliance #AML #BusinessIntegrity #DataProtection #FinancialRegulations #FinancialServices #LegalCompliance #RiskManagement

Kobi Freedman said it best: Compliance isn’t just about ticking regulatory boxes anymore—it’s a powerful business enabler. #SupplyChainCompliance #CMMC #RegulatoryRequirements