Authorisations and Registrations

The prospect of determining the type of application required and drafting the necessary documentation can be time consuming and in some cases overwhelming. Portman streamlines the process by managing the project from start to finish, determining the type of application you require based on the services you're looking to provide and jurisdictions you are looking to provide them. We draft the necessary forms and liaise with the Regulator(s) throughout the process through to the determination of your application. We understand that in order to achieve authorisation/registration the FCA and/or SEC requires that certain documents are maintained. We provide firms with the necessary documentation to achieve authorisation/registration.

Ongoing Compliance Requirements

Compliance infrastructure

Both the FCA and the SEC expects firms to have an appropriately detailed yet proportionate suite of compliance policies and procedures. Portman works with its clients to ensure that suitable policies and procedures are implemented and maintained.

Tailored compliance training

Portman believes that in order for training to be effective, it needs to directly relate to the activities carried out and the individuals involved. Therefore, we tailor all our training sessions to the individuals receiving the training and the firms involved. 

Periodic compliance monitoring

Portman works with firms to establish an appropriately detailed and proportionate compliance monitoring programme that ensures you meet your regulatory obligations on an ongoing basis.

Regulatory development tracking

Monitoring upcoming regulatory change and the implications on your firm can be an incredibly difficult task. Portman aims to remove this burden by analysing upcoming regulatory developments and providing tailored advice, support and guidance to our clients.

Regulatory reporting

Portman is able to assist firms with preparing or reviewing US and UK regulatory returns.


Special Projects

Portman has a team of experienced and knowledgeable consultants that are able to tailor their approach to the situation at hand. We have worked with firms of all sizes to provide mock regulatory examinations or assist you through real examinations, thematic reviews of specific high risk areas and onsite assistance should you experience short term resourcing issues. Welcome to Portman Compliance!


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