Formed in 2000, to provide professional compliance support services to the Financial Services sector, the directors and consultants have many years experience in their specialist fields – which include; pension transfers and drawdown, investments, mortgages and general insurance. We believe that there is a demand for a personal, relationship based, approach to compliance from Regulated firms – as opposed to the usual ‘one size fits all’ style. We believe that we can satisfy that demand by means of our own very practical and user friendly systems for meeting the varied needs of the IFA and Insurance/Mortgage Broker. Our policy of offering a bespoke service and our ‘hands on’ and practical approach to compliance matters means we are well placed to help you implement compliance systems and controls appropriate to your own individual operation. Please vist our website for more detailed information on our services – or please contact us directly if you have an enquiry.

PERA BUSINESS PARK NOTTINGHAM ROAD MELTON MOWBRAY LEICESTERSHIRE UK
LE13 0PB
T: 01664503780
Email
Website

• Authorisation -FCA
• Complaints Handling Reviews
• Compliance Training
• Due Diligence
• Enforcement Action - Financial Services
• Expert Witness - Financial Services
• File Review
• Health Checks
• Money Laundering/Financial Crime Advice and Reviews
• Regulatory Updates

• Authorised Professional Persons
• Insurance Brokers - General
• Insurance Brokers - Pure Protection Products
• Mortgage Brokers
• Mortgage Lenders/Administrators
• Pension Scheme Operator/Provider
• SIPP providers