We offer a specialised range of services to assist our clients meet both the spirit and the letter of the regulatory rules whilst continuing to function as an effective business. Our bespoke documentation system aims to provide competent client service and enhanced net profit as well as avoiding future complaints. We are not "box tickers" and "wrist slapping gurus". We offer a personal, hand on approach working with all staff. All our clients arrive via personal recommendations. Often our first assignment is as compliance trouble shooters. Please see our web site for more information.

• Authorisation - FCA
• Authorisations / Permissions applications
• Complaints Handling
• Compliance Advice
• Compliance Support
• Compliance Training
• Due Diligence
• Enforcement Action
• File Review
• Health Checks
• Information security / Data protection
• Money Laundering/Financial rime Advice and Reviews
• Regulatory Capital / Solvency
• Regulatory Updates

• Authorised Professional Persons
• Financial Advisors
• IFA - inc IFA divisions of financial institutions
• Insurance Brokers - Pure Protection Products
• Mortgage Lenders/Administrators
• Pension Advisers