Our Compliance Department deals with all external regulators and other bodies, such as the Financial Conduct Authority (FCA), Lloyd's, etc. in addition to all the procedures with clients regarding the TOBAs.
Our Compliance Department deals with all external regulators and other bodies, such as the Financial Conduct Authority (FCA), Lloyd's, etc. in addition to all internal compliance/operational matters to ensure that we maintain the highest professional standards for our clients and markets. We ensure that the marketplaces we use are secure and authorized to support our clients' business. To this end, we also help register our markets in various jurisdictions, including the collection, organization and legalization (Authentication and Apostille) of documents. Our Compliance Department ensures that we have completed our due diligence with our commercial clients both on the colocation and on the markets to ensure that the necessary TOBAs are in order.
If you are a Broker and wish to place your London business with us, please download and complete our questionnaire back to our compliance department LarCompliance@larandsons.com attaching the relevant files and we will respond immediately if we have any questions about it. The FATCA statement can be viewed here
Mario Fernández-Pintado Aldonza
Executive Director & Compliance Oversight