COMPLIANCE ASSURANCE

Regulatory Compliance Advisory Service

At CAPGEMINI FINANCE SERVICE LTD, our Regulatory Compliance Advisory Service is designed to provide expert guidance to financial institutions and investors, helping them navigate complex regulatory landscapes such as MiFID II and UK-specific regulations. We offer advisory support to ensure clients are well-informed and able to meet compliance obligations effectively, without directly implementing or overseeing regulatory compliance programs.

Portfolio Compliance Advisory

We provide advisory services to help clients monitor their portfolios and ensure alignment with the investment guidelines and restrictions outlined in their investment policy statements (IPS). Our team recommends implementing internal systems and controls to help clients adhere to regulatory requirements and internal policies, including best execution and UK market abuse regulations. We do not conduct direct monitoring or manage portfolio compliance.

Compliance Auditing Advisory

Our compliance auditing advisory service assists clients in preparing for and understanding the scope of regulatory audits. We provide consultative support on best practices for internal audits and external third-party reviews. However, we do not conduct regulatory compliance audits or act as independent auditors for regulated entities such as UK mutual funds or pension funds. Clients are encouraged to work with licensed auditors for formal compliance assessments.

Risk Management and Compliance Integration (Advisory)

Our team advises clients on integrating compliance into their broader risk management frameworks. We offer advisory services that help firms assess their compliance risks and develop strategies to manage them. This includes offering insights on incorporating compliance considerations into operational risk management. We do not directly manage risks but provide strategic recommendations for doing so.

Compliance Technology Advisory

We advise clients on technology solutions that can help track and manage their compliance activities. Our service includes providing insights on the best software solutions for regulatory reporting, audit trails, and policy management. We also recommend tools that automate compliance reporting to UK regulators (such as FCA reporting), but we do not implement or operate these systems for clients. Clients are responsible for selecting and managing their technology solutions.

Ethical and Governance Advisory

We provide guidance to help firms develop or review their codes of ethics in line with industry best practices and UK regulatory expectations. Our service also includes advisory support on governance practices, ensuring that boards and leadership effectively oversee compliance and ethical behaviour. We provide recommendations on governance structures but do not take on any direct governance responsibilities within the firm.

Why Choose Our Regulatory Compliance Advisory Service?

CAPGEMINI FINANCE SERVICE LTD’s Regulatory Compliance Advisory Service offers clients the expertise and guidance to understand and meet their regulatory obligations in the UK and Europe. We help businesses navigate complex compliance requirements through strategic advice and recommendations. We do not implement or manage compliance programs directly, ensuring all regulatory responsibilities remain with the client or their licensed compliance service providers.

Key Changes to Avoid FCA Regulation:

1. Clarified Advisory Role: This is clearly stated that Capgemini Finance Service Ltd offers advisory support only and does not directly perform compliance audits, implement compliance programs, or monitor portfolios.

2. Client Responsibility for Compliance: Made it explicit that clients remain responsible for executing compliance measures, audits, and portfolio monitoring through licensed auditors or internal teams.

3. Avoid Direct Regulatory Engagement: Positioned the service as consultative rather than directly engaging with UK regulators or taking on compliance responsibilities.