Carter & Associates is a registered financial services compliance practice with the Financial Services Conduct Authority (FSCA).

The firm deals with all work unrelated to commercial banks, such as asset management, futures, options and derivatives, security exchanges, equities, and financial services providers (FSPs). He deals with regulatory non-banking compliance and Financial Advisory Intermediary Services (FAIS) and the monitoring thereof and acting as an external compliance officer.

As the director, Geoffrey holds in successful passing of the RE1, RE3 and RE5 FAIS exams.

Carter＆Associates已注册于金融服务实践监管局（FSCA），以进行合规的业务实践。

本公司跟进的所有工作与商业银行无关，例如资产管理、期货、期权和衍生品、证券交易所、股票和金融服务提供商（FSP）。Geoffrey负责监管非银行合规和财务咨询中介服务（FAIS）以及对其进行监控，并担任外部合规官。

作为主管， Geoffrey已成功通过了RE1，RE3和RE5 FAIS考试