Compliance Support

We offer efficient and professional compliance services.

Compliance is a fast-evolving area across the financial industry. We offer efficient compliance services to give you comfort that your firm is complying with all the relevant regulations whilst maintaining a commercial perspective.

  • FCA Authorisation

Your firm will require FCA authorisation if it carries out an activity regulated under the Financial Services and Markets Act 2000. We understand the financial services industry and we understand compliance.

  • Compliance Management

We assist authorised firms, and those seeking authorisation, with ensuring their FCA compliance. For some firms, particularly those with little internal compliance capacity, consultants are an integral part of their compliance management.

  • Claims Management

We can help your firm prepare for the world of FCA regulation, from the application process to day-to-day requirements.

  • Anti-Money Laundering

Our anti-money laundering and counter-terrorist financing solutions are designed to help reduce the risks associated, whilst ensuring that they are risk-based and proportionate to your business. Click here.

  • Copy Advice Services

Getting advertising right can be tricky. Firms must balance their need to communicate a clear business message with relevant Advertising Standards Authority and Financial Conduct Authority requirements. Click here.

  • Treating Customers Fairly

The FCA accepts that firms operate in different ways and there is no set standard for the way in which you operate. It is the responsibility of each firm to review practices constantly in order to ensure that you are supporting the principle of Treating Customers Fairly and are focussed on achieving the 6 outcomes. Click here to learn more.

  • GDPR Compliance Services for Small Business

We provide small businesses with a managed approach to General Data Protection Regulation (GDPR) compliance. We will work with you to achieve and maintain compliance. Click here to learn more.

  • Virtual Compliance Manager

With the fast pace of changing regulation and the often significant demands on internal resources, it is difficult to keep up with new regulations, new risks or changes in the direction of a business.

In these circumstances, we could provide Virtual Support resources that you require to address discrete projects or to provide the support required in both implementing new procedures and addressing recently identified issues.

The Virtual Compliance Manager service provides a cost-effective solution. To enquire about this increasingly popular service, please contact us.

Rapid Response to compliance concerns for small to medium enterprises (SME).

Supporting your business on its compliance journey, every step of the way.

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Other Services

FIND OUT MORE

We can offer in-house or remote services that meet your needs and budget. To find out more about please request our pricing guide. 

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