02 Nov Active Compliance Services Limited
Active Compliance Services Ltd are able to offer a range of compliance services to Independent Financial Advisers, General Insurance Brokers and Mortgage Brokers. The firm offers a bespoke service that is tailored to meet the needs of a particular firm. This is agreed upon discussion with the firm and generally upon undertaking an initial assessment of the business. Sharon Wilson, the Principal of Active Compliance Services Ltd, has worked in the financial services area of compliance since 1992.
The firm currently advises sole traders, partnerships and small and large limited companies.
The service can be adapted from a one off compliance review in a particular area to on-going compliance support to assist the firm to adapt to the changes that inevitable affect our industry. Please call to discuss your requirements further.
- Compliance Support
- File Reviews
- Financial Crime /AML
- Regulatory Updates
- General Insurance
- Mortgage Brokers/Lenders
- Pension Scheme Operators/Providers
- Restricted Financial Advisers