10 Oct Axiom Compliance Limited
Axiom Compliance represents a unique presence in the regulation of banking and financial services offering market and regulatory experience in an integrated firm. Axiom's aim is to provide sound compliance advice and hands on solutions. We recognise that compliance should go hand in hand with risk management and good business practice.
Axiom provides a wide range of financial compliance services and regulatory advice across banking and financial institutions. We enable you to stay within the regulations in the most cost effective, timely and practical manner, whilst not stifling your business.
Axiom's compliance professionals are ex regulators and industry professionals with significant industry knowledge and an understanding of commercial business concerns. Our experience is gained from employment in the financial services and banking industry. Our close links with risk management specialists, auditors and law firms enable us to go beyond the pure compliance aspects of your business.
- Authorisation - FCA
- Complaints Handling Reviews
- Compliance Advice
- Compliance Support
- File Reviews and/or Monitoring
- Health Checks
- Authorised Professional Persons
- Corporate Finance Firms
- Discretionary Fund Managers
- Financial Advisors
- Institutional Investment Management
- Private Client Investment Management
- Securities and Futures firms