3 Lines of Defence Consulting Ltd service encompasses governance, regulatory, risk and audit needs of UK and International firms.  We provide focussed advisory and support services, drawing on our extensive ‘hands on’ experience to give you practical effective delivery.

• Advice pre regulatory risk assessment or supervision visit
• Authorisation - PRA
• Authorisation -FCA
• Client Assets
• Complaints Handling Reviews
• Compliance advice
• Compliance Support
• Compliance Training
• Contracting/Interim
• Documentation
• Due Diligence
• Enforcement Action - AML and Payment Services
• Enforcement Action - Financial Services
• Expert Witness - AML and Payment Services
• Expert Witness - Financial Services
• File Review
• Governance
• Health Checks
• Information Security/Data Protection (GDPR)
• Management training & support, Staff training
• Marketing and Business Development
• Mis-selling Reviews
• Money Laundering/Financial Crime Advice and Reviews
• Passporting/International Compliance
• Payments Services Registration and Compliance
• Pension Reviews
• Regulatory Capital/Solvency
• Regulatory Hosting/Incubation
• Regulatory Relationship Management
• Regulatory and Examination Training and Coaching
• Regulatory Returns Assistance
• Regulatory Updates
• Risk Management
• Shadow s.166 reviews
• Skilled Person Panel
• Skilled Person Panel - Data & IT Infrastructure
• Skilled Person Panel - Client Assets
• Skilled Person Panel - Conduct of Business
• Skilled Person Panel - Financial Crime
• Skilled Person Panel - Governance, Controls & Risk Frameworks
• Skilled Person Panel - Prudential – Investment Firms, Intermediaries & RIE
• Training

• Fintech / Regtech
• IFA - inc IFA divisions of financial institutions
• Institutional investment management