02 Nov Financial Compliance Limited
Financial Compliance Limited are a commercial and pragmatic compliance consultancy. With collective relevant Financial Services experience of approaching 100 years, we have the depth and breadth of professional experience to assist you in your regulatory authorisation and compliance needs.
Experience of managing businesses in the commercial world means we understand the pressures and priorities faced by your business and the need for focused, timely, cost-effective and appropriate support.
Recent experience working within the FSA Authorisations and Supervision departments managing complex applications and firms allows us to provide our clients with regulatory applications that fully meet and anticipate the needs of the regulator at the outset.
We are well positioned to assist our clients in the obtaining of what is known as Part IV Permission from the regulators for the undertaking of regulated activities. We are able to offer a complete application service where we assemble the entire application package including a full suite of policies and procedures documentation and manage the authorisation process from start to finish.
Our authorisations experience covers the entire range of regulated entities, from Investment Advisers to Insurance Companies, CIS Schemes through to major Fund Managers, Short Term Mortgage Providers, Consumer Credit firms through to Retail deposit-taking Banks – the full range of straightforward to complex applications.
- Complaints Handling/Reviews
- Compliance Support
- Contract Services/Interim Locum Support
- File Reviews
- Regulatory Returns
- Claims Management Companies
- Consumer Credit/P2P
- Credit Unions
- General Insurance
- Lead Generation Firms
- Mortgage Brokers/Lenders