Copyright © 2015 Tony Kemp Consulting Limited. Registered in England Number 03795753. VAT Registration Number 155564984.
Member of the Association of Professional Compliance Consultants
TONY KEMP CONSULTING
Tony can demonstrate a long and successful record of controlling risk during major business and regulatory change. After many years of service to the industry in permanent senior management positions, he now offers his skills on a more flexible basis through his own consulting business.
With over 20 years' hands on compliance management experience gained in high profile city firms and smaller regional businesses, Tony is well placed to tackle your regulatory needs. He can help you achieve your goals in a cost effective and creative manner, either on a consultancy basis or as a longer term interim manager.
Recent Clients
RBS
Newton Investment Management
Lazard Asset Management
Barclays Wealth & Investment Management
TYPICAL PROJECTS (UPDATED SEPTEMBER 2017)
Recent FCA Focus
- Financial Crime and AML
- Wholesale Markets
- Conduct Risk Management and TCF
- Mis-
selling - Advice and Suitability
- Conflicts of Interest and Inducements
- Market Abuse and MiFIR
- Senior Managers Regime
- Client Assets
- Best Execution
- Use of Dealing Commission
- Outsourcing
- Complaints Handling
- ICAAP
- Board Level MI
- Remuneration Code and Incentives
- Technological Developments
- RDR
Other Directives & Regulation
- MiFID II / MiFIR
- MAR
- EMIR
- AIFMD
- PRIIPS / KID
- FATCA
- UCITS
- CRDIV&V
- Fourth Money Laundering Directive
Tony’s Recent Projects
- MiFID II
- Organised Trading Facilities
- Private Equity
- AML for Trade Finance
- Regulatory Risk Assessment
- Compliance Training
- EMIR
- Client On-
boarding - Client Assets
- Transaction Reporting
- Complaints Handling
- Compliance Restructure
- Conflicts of Interest
- Outsourcing
- AML Remediation
- ICAAP Operational Risks
- Monitoring Plans
- Remuneration Code
- UCITS IV
- KIIDs
- Fund Compliance and Risk Management Processes
- Fund launches
- RDR
Does your business need a compliance project or health check in any of the following areas?
- Conduct of business risk assessment / audit
- TCF
- Corporate governance
- Compliance department structures and processes
- Risk-
based monitoring programmes - Compliance manuals
- Rule interpretation covering UK, EU, US
- MI, KPIs and other compliance controls
- Sales processes and back office support functions
- Client take-
on and AML processes - Funds compliance
- Discretionary portfolio management
- Advice and Suitability
- File audits
- T&C schemes
- Adherence to product regulations
- UCITS management company structures
- Oversight of outsourcing and Appointed Representatives
- Client assets (CASS)
- Financial promotions
- Financial crime controls
- ICAAP risk mitigation
- Preparation for FCA and Section 166 regulatory visits
- Remedial work
- Business development
- Corporate and branch authorisation
- New permissions
- Interim approved person registration
