An independent compliance and operational risk consultancy. Providing advice on: corporate authorisations - acquisitions and other changes in control, - variations of permission - passporting, fund structuring and domicile - fund establishment and documentation - compliance monitoring programmed advice and audit - training and competence - training requirement surveys - training programme development and delivery - ongoing compliance advice - risk management systems advice, risk reviews - ICAAP review and development - SYSC documentation oversight process.  governance reviews - pre-FCA visit reviews and SIF training.  Support with Gabriel and ONA as appointed users.

• Authorisation
• Bespoke Processes/Procedures
• Client Assets
• Complaints Handling/Reviews
• Compliance Auditing/Due Diligence
• Compliance Support
• Compliance Training
• Contract Services/Interim Locum Support
• Data Security/Protection
• Documentation
• Financial Crime /AML
• Governance
• Regulatory Returns
• Regulatory Updates
• Risk Assessment /Management
• Skilled Persons Review Support
• Training

• Claims Management Companies
• Consumer Credit/P2P
• Crypto/AML
• Discretionary Fund Managers
• IFAs
• Investment Managers
• Investment Product Providers
• Restricted Financial Advisers