Flexible, friendly and affordable Compliance and Pension Transfer Specialist support for the small to medium sized directly authorised Financial Advisory firm.

Whether you require a full risk management solution, accompanying annual compliance activity programme and ongoing face to face support, or one off services to address a specific area of need, we will be happy to offer a level of service suited to your needs and budget.

Our fees are straightforward with most services being subject to either a daily rate or fixed fee. No retainers are involved and fees are not subject to VAT.

An initial consultation is provided at no cost.

• Authorisation
• Bespoke Processes/Procedures
• Business Development/mentoring
• Complaint Handling Reviews
• Complaints Handling/Reviews
• Compliance Auditing/Due Diligence
• Compliance Support
• Compliance Training
• Data Security/Protection
• Documentation
• Enforcement Action – Financial Services
• Expert Witness
• File Reviews
• Financial Crime /AML
• Governance
• Regulatory Returns
• Skilled Persons Panel – Off FCA Panel
• Supervisory Support /Monitoring /Assessment
• Training

• IFAs
• Mortgage Brokers/Lenders
• Restricted Financial Advisers