11 Jan Alpha Capital Compliance Limited
Financial services Compliance and Money Laundering Prevention are very complex topics however, at Alpha, we aim to assist firms from all jurisdictions by providing blunt and uncompromising advice in this specialist arena whilst developing a positive and respectful interaction with all clients.
We operate on a retainer and open-access basis, which coupled with our forthright approach, provides a unique, no-nonsense service that identifies and takes advantage of a space in the industry which we hope will be both welcomed and appreciated by clients, allowing us to make a distinctive and substantial impact.
- Client Assets
- Complaints Handling/Reviews
- Compliance Auditing/Due Diligence
- Compliance Support
- Enforcement Action Support
- File Reviews
- Regulatory Updates
- Building Societies/Friendly Societies
- Claims Management Companies
- Discretionary Fund Managers
- Investment Product Providers
- Restricted Financial Advisers