Our recent work
Mpac has provided advice to a wide variety of firms representing the banking, investment and insurance sectors. The work is diverse and varied, including:
- advising on the establishment and regulatory requirements of bringing overseas banks to the UK
- advising a UK exchange on the regulatory processes involved in winding-up its business
- advising on the regulatory issues surrounding the establishment of an equity fund management business in Asia for a UK bank
- overseeing a review of the compliance processes for one of the world’s largest commodity firms
- providing market abuse and conduct of business training for a large European bank
- managing a number of authorisations, ranging in size of personnel from a handful to hundreds.
- mentoring compliance staff in the dealing room of a large US bank
- conducting a reassessment of the European compliance procedures and compliance monitoring programme for a major Japanese bank
- project managing a complete review of client identification records for a US securities house and private wealth management firm
- preparing senior management at several institutions for FSA visits
- acting as an expert witness on global anti-money laundering standards for a major US and Middle East court case
- specific training to management, approved persons and other staff in respect of their responsibilities e.g. systems and controls, anti money laundering, market abuse etc.
- presenting the regulatory training module within an ‘Introduction to the Financial Markets’ course provided by an HR trade body to its members
- carrying out compliance healthchecks in the EU, US and Middle East..
