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Exempt CAD firms: how to prepare for the new UK prudential regime

Exempt CAD firms: how to prepare for the new UK prudential regime

Newgate Compliance Managing Director, Matthew Hazell, outlines the steps investment firms classified as ‘Exempt CAD’ need to take in order to prepare for the new UK prudential regime. This article forms part of our IFPR readiness series.

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Newgate have developed a readiness assessment to undertake a gap analysis of a firm’s systems and controls against the prudential requirements, identifying any remediation actions to be undertaken.

Its enhanced compliance framework on its proprietary compliance system “GATEway” encompasses updated polices, assessment documents and the compliance monitoring plan to ensure these changes are considered and complied with on an ongoing basis.

For more information, please contact the Newgate team at newgatecompliance.com/contact-us.

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