Compliance

We help firms identify, assess and mitigate against the risks

With a proven track record, our team of compliance advisors possesses extensive expertise in guiding organizations through regulatory changes and aiding them in establishing effective controls to ensure compliance. In an industry that constantly faces substantial regulatory shifts, we understand the difficulties organizations encounter in comprehending new regulations, adapting controls to the evolving landscape, and maintaining the confidence of senior management and regulators in the effectiveness of these controls.

Why Berkeley & Lords?

Expertise from ex-regulators

Equipped with a team comprising former regulators, we are fully prepared to assist you in comprehending your risks and implementing optimal control measures to guarantee the efficacy of anti-crime procedures.

A proactive and focused approach

We emphasize an assertive strategy that places your requirements as the foremost priority and provides proactive resolutions to assist you in mitigating potential risks.

Centralized compliance software

The Gateway, our cutting-edge compliance software solution, consolidates all of your firm's compliance procedures and ensures their effortless accessibility.

Ensure protection against financial fraud.

Financial crime poses an escalating danger to enterprises. It encompasses both internal and external threats, necessitating constant adaptation to evolving regulatory requirements. In recent years, regulatory bodies have intensified their oversight of authorized firms, demanding tangible evidence of their dedication to combatting financial crime. Against this backdrop, we have crafted a comprehensive range of services designed to detect and expose financial crime, while establishing resilient controls and procedures to counter it. Our proficiency extends to identifying and enforcing measures against all forms of financial crime, encompassing anti-bribery and anti-money laundering efforts.

Compliance Advisory Services

Prudential rules and regulations

Financial reporting regulations are intricate and are applicable universally, encompassing both major global establishments and individual entrepreneurs. Smaller businesses may find it challenging to stay abreast of the intricacies involved in regulatory reporting.

Financial Crime

Due to the 40 recommendations set forth by FATF, governments worldwide have been actively engaged in strengthening their legislation, regulation, and oversight to effectively address the issues of money laundering and terrorist financing in recent times.

Market Abuse

Market Conduct has consistently remained a top priority for the FCA, encompassing a wide array of areas such as market manipulation, insider trading, information barriers, personal account transactions, market surveillance, and financial crime.

Client Money & Assets (CASS) Solutions

The FCA has established the Client Asset Sourcebook (CASS), which outlines the regulations that firms must adhere to when managing and safeguarding client funds and assets.

ESG

Our ESG advisory service has been specifically developed to equip investment managers with the necessary resources to effectively navigate the ever-changing regulatory and legislative ESG environment.

Consumer Duty

Our team of consultants is available to assist you in implementing the Consumer Duty within your organization, regardless of whether you operate as a distributor, manufacturer, or part of the distribution chain.

Governance (SM&CR)

Shareholders and other stakeholders of a company have high expectations when it comes to good governance practices, which are considered a fundamental requirement. Throughout the course of corporate and regulatory failures in history, the existence of flaws in corporate governance has remained constant.

M&A regulatory due diligence

We provide assistance to companies involved in M&A transactions within the global financial services sector, catering to both buyers and sellers.

Regulatory interaction

Waystone is available to assist you as your business progresses, whether that entails new business endeavors or alterations in company ownership.

Compliance and risk management framework

The failure to recognize and effectively handle risk is frequently the underlying reason behind significant failures experienced by both financial institutions and various sectors within the financial services markets.