Westport Global Ltd

Westport Global provides specialist compliance consultancy services, advice and support to FCA regulated firms and to those applying for authorisation. Our services are always tailored to your business, ensuring you are able to remain compliant whilst also being able to focus upon the needs of your business and your clients. The experience of our consultants means that whilst regulation and compliance is at the core of our business, the implementation of those regulations is firmly based in an operational background. Thus we are also able to also offer Non-Executive Director and management services. We offer friendly and efficient guidance that you can rely upon and would be happy to take your call to discuss any regulatory or business challenge you may have. Our consultants provide regulatory support and professional advice to a range of businesses within financial services for one-off projects, ad hoc general compliance support and retainer services, with specialist knowledge of: • FCA Applications • Variation of Permissions • GABRIEL & Regulatory Reporting • Capital Requirements Directive IV (CRD IV) • Alternative Investment Fund Management Directive (AIFMD) • Markets in Financial Instruments Directive (MiFID) • Pillar 3 disclosures • Remuneration Policies • Common Reporting (COREP) • Internal Capital Adequacy Assessment Process (ICAAP) • Compliance Manuals & Documentation • Compliance Monitoring Plans • Policies & Procedures • Best Execution • Client Money & Assets • Conduct of Business • Treating Customers Fairly • Conflicts of Interest • Disaster Recovery & Business Continuity Planning • Compliance Audit & Monitoring • Regulatory Risk Assessments • Bespoke Training • Ongoing compliance & operational support • Advice & training for compliance staff & senior management • AML & Client Due Diligence CDD • Bribery & Corruption • Systems & Controls • Corporate Governance & Conduct Risk • Non-Executive Director Services