02 Nov TCC
Posted at 12:37h
in Uncategorised
We know that culture is the key to commercial success for FCA regulated businesses. Happy, loyal customers lead to less complaints and the need for costly remediation. That’s why our solutions connect the dots between culture and compliance, helping our clients find better ways to tackle conduct risk.
Our specially developed regulatory technology (RegTech) works hand in hand with our human expertise, meaning our services drive higher efficiencies and insight while delivering exceptional value for money.
With roots in financial services and with regulators, we've gained numerous accolades for work and have become a dependable name in the field.
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Services Offered
- Authorisations – FCA
- Bespoke Processes/Procedures
- Complaints Handling/Reviews
- Compliance Auditing/Due Diligence
- Compliance Support
- Compliance Training
- Contract Services/Interim Locum Support
- Documentation
- Enforcement Action Support
- Expert Witness
- File Reviews
- File Reviews/Monitoring
- Financial Crime /AML
- Governance
- Marketing
- Paraplanning
- Regulatory Returns
- Regulatory Updates
- Risk Assessment /Management
- Skilled Persons Review Support
- Supervisory Support /Monitoring /Assessment
- Training
Firms Served
- Bank/Depositaries
- Building Societies/Friendly Societies
- Claims Management Companies
- Consumer Credit/P2P
- Crypto/AML
- Discretionary Fund Managers
- Electronic Money Issuers/Payment Institutions
- General Insurance
- IFAs
- Investment Managers
- Investment Product Providers
- Lead Generation Firms
- Lenders
- Mortgage Brokers/Lenders
- Payments & e-money
- Pension Scheme Operators/Providers
- Protection Product Providers
- Restricted Financial Advisers
- Stockbrokers
- System Providers
- Trade Associations