10 Oct Active Compliance Services Limited
Active Compliance Services Ltd are able to offer a range of compliance services to Independent Financial Advisers, General Insurance Brokers and Mortgage Brokers. The firm offers a bespoke service that is tailored to meet the needs of a particular firm. This is agreed upon discussion with the firm and generally upon undertaking an initial assessment of the business. Sharon Wilson, the Principal of Active Compliance Services Ltd, has worked in the financial services area of compliance since 1992.
The firm currently advises sole traders, partnerships and small and large limited companies.
The service can be adapted from a one off compliance review in a particular area to on-going compliance support to assist the firm to adapt to the changes that inevitable affect our industry. Please call to discuss your requirements further.
- Authorisation - FCA
- Authorisations / Permissions applications
- Complaints Handling
- File Review
- Health Checks
- Money Laundering / Financial Crime
- Regulatory Updates
- Consumer Credit Providers
- Financial Advisors
- IFA - inc IFA divisions of financial institutions
- Insurance Brokers - Pure Protection Products
- Insurance Brokers General
- Mortgage Brokers
- Mortgage Lenders/Administrators