Fala Consulting Ltd is a small independent regulatory consulting practice with significant experience in the financial asset management industry. We have been in business since 2003. As a small consulting practice, we can provide a completely tailor made experience for you and we pride ourselves on ensuring that we listen to, and understand our client’s needs. If we don’t feel we can add value or help, we will tell you.
The practice provides a variety of services so feel free to talk to us. However, the majority of our work generally lies with projects both assisting with the implementation of regulatory initiatives such as MiFiD II, 4MLD, or internal projects. Internal projects can range from anything like providing compliance input for a new order management system to practical assistance overhauling documentation, policies and procedures. We also provide compliance advice either on an ad hoc basis or ongoing basis. The other area of focus for the firm is the provision of regular support. This generally is either by us completing regular ongoing compliance monitoring for your firm or reviewing compliance monitoring undertaken in house. Our involvement is tailored to suit the firms’ needs but this can free up internal resources to provide better value to the business. We will also provide support for things like cover for temporary absences or can a regulatory health check where needed.
We work with most sizes of firms but specialise in smaller fund management houses who may have limited internal resources. We aim to put compliance into plain English and make it as business friendly as possible. We have experience of OEICs and AIFs as well as the savings schemes which accompany these.
The Director, Elizabeth Ballantine, has nearly 30 year’s experience in compliance in a range of different investment businesses. She has also worked as a consultant for KPMG for a period working with life companies, building societies and venture capital companies as well as assisting new starts. She was Head of Compliance for one of Scotland’s largest independent fund managers prior to KPMG and since then has worked for a variety of companies all within the asset management arena with experience of building an asset management company from a startup situation. As well as the practical experience, she holds the Securities Industries Diploma and is also a qualified company secretary.
For more information or an initial discussion please feel free to contact Elizabeth on 0781 8627514.
