
10 Oct Compliance Cubed Limited
Based in the Bristol area but covering the UK we provide hands on support to firms seeking to become directly authorised through to on-going compliance monitoring support. Our work includes developing and monitoring systems, policies and programmes including training and competence and providing advice in relation to FCA policy as it develops.

Address
BS20 7EX
T: 01275390081
E: info@compliancecubed.co.uk
W: http://www.compliancecubed.co.uk
Services Offered
- Authorisation -FCA
- Client Assets
- Complaints Handling Reviews
- Compliance advice
- Compliance Support
- Compliance Training
- Due Diligence
- File Review
- Health Checks
- Money Laundering/Financial Crime Advice and Reviews
- Payments Services Registration and Compliance
- Regulatory Updates
Firms Served
- Corporate Finance Firms
- Discretionary fund managers
- Insurance Brokers - General
- Insurance Brokers - Pure Protection Products
- Mortgage Brokers
- Mortgage Lenders/Administrators
- Payments Services Institutions
- Pension Scheme Operator/Provider
- Private Client investment management
- Securities and Futures firms
- Stockbrokers