We are Compliance Specialists and we work alongside our clients using a highly collaborative approach. We provide you with an initial consultation at our expense and we work with you on a short-term or an on-going basis, according to your needs.

We also provide Regulatory Training and Coaching.

Our focus:

•  HIGH QUALITY, CUSTOMER FOCUSED SERVICE
•  INNOVATIVE APPROACH
• EXCELLENT VALUE FOR MONEY
• WE ARE DISTINGUISHED AGAINST EXISTING ALTERNATIVES
• WE BUILD STRONG AND SUSTAINABLE RELATIONSHIPS WITH OUR CLIENTS

We believe that compliance doesn’t have to be painful and we build engagement and enjoyment into everything that we do for our clients.

• Authorisation -FCA
• Client Assets
• Complaints Handling Reviews
• Compliance advice
• Compliance Support
• Compliance Training
• Due Diligence
• Enforcement Action - Financial Services
• Health Checks
• Money Laundering/Financial Crime Advice and Reviews
• Regulatory Updates

• Authorised Professional Persons
• Banks/Deposit Takers
• Claims Management Companies
• Company Service Providers
• Consumer Credit Providers
• Corporate Finance Firms
• Credit Unions
• Discretionary fund managers
• Electronic Money Issuers
• Insurance Brokers - General
• Insurance Brokers - Pure Protection Products
• Mortgage Brokers
• Mortgage Lenders/Administrators
• Pension Scheme Operator/Provider
• Private Client investment management
• Retail investment management
• Securities and Futures firms
• Stockbrokers
• System suppliers