compliance and risk management
As the regulatory landscape in all industries continually changes, so do the compliance regulations and requirements to stay within industry rules.
Stepping Stones Marketing Solutions provides a comprehensive range of compliance services including governance, risk and compliance solutions to help reduce this increasing burden for clients, allowing them to build and develop a strong environment for growth.
The Stepping Stones Marketing Solutions – Compliance and Risk Division led by Ian Fenner Evans has a wealth of experience in reviewing client processes and procedures and has a proven track record of establishing clear and concise processes that provide clients with a time- and cost-efficient regulatory environment.
Our range of services include:
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Preparation and Supervision of regulatory visits
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Strategic advice for product launches / developments
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Marketing and sales
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Treating Customers Fairly reviews
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FSA authorisation issues
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FSA Compliance Manual
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Anti-Money Laundering advice and investigations
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FSA Skilled Persons Report
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Compliance Procedures
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FSA Training and Competence
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Compliance Investigations
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Compliance Support / Outsourcing
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Advice in respect of FSA Investigations and Enforcement
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Financial Capability Projects
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Disaster Recovery Planning
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Developing risk-based compliance strategy
In addition to the Financial Services sector we have also assisted law firms in respect of issues under the Solicitors Regulation Authority (SRA) Code of Conduct requirements and companies in a variety of other sectors considering the implication of various regulations relating to Data Protection, marketing regulations (direct selling, OFT regulation) and Corporate Governance.
Ian Fenner Evans , Compliance and Risk Associate Director has over 25 years experience in regulatory and compliance executive positions including Group Compliance Director and Company Secretary for the Julian Hodge Bank Group..