
10 Oct Compliance Cubed Limited
About
Based in the Bristol area but covering the UK we provide 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
- Client Assets
- Complaints Handling
- Compliance Advice
- Compliance Training
- Due Diligence
- File Reviews and/or Monitoring
- Health Checks
- Information Security / Data Protection
- Regulatory Capital / Solvency
- Regulatory Updates
Firms Served
- Corporate Finance Firms
- Discretionary Fund Managers
- Financial Advisors
- Insurance Brokers - General
- Insurance Brokers - Pure Protection Products
- Mortgage Lenders/Administrators
- Pension Advisers
- Private Client Investment Management
- Retail Investment Management
- Securities and Futures firms
- Stockbrokers