Experienced, high quality compliance solutions for General Insurance intermediaries

• Advice pre regulatory risk assessment or supervision visit
• Authorisation - PRA
• Authorisation -FCA
• Client Assets
• Complaints Handling Reviews
• Compliance advice
• Compliance Support
• Compliance Training
• Documentation
• Due Diligence
• Enforcement Action - AML and Payment Services
• Enforcement Action - Financial Services
• Expert Witness - AML and Payment Services
• Expert Witness - Financial Services
• File Review
• Health Checks
• Management training & support, Staff training
• Marketing and Business Development
• Mis-selling Reviews
• Money Laundering/Financial Crime Advice and Reviews
• Payments Services Registration and Compliance
• Pension Reviews
• Regulatory and Examination Training and Coaching
• Regulatory Returns Assistance
• Regulatory Updates
• Shadow s.166 reviews
• Skilled Person Panel - Data & IT Infrastructure
• Skilled Person Panel - Client Assets
• Skilled Person Panel - Conduct of Business
• Skilled Person Panel - Financial Crime
• Skilled Person Panel - Governance, Controls & Risk Frameworks
• Skilled Person Panel - Prudential – Investment Firms, Intermediaries & RIE

• Authorised Professional Persons
• Banks/Deposit Takers
• Building Societies
• Claims Management Companies
• Collective Investments Funds
• Company Service Providers
• Consumer Credit Providers
• Corporate Finance Firms
• Credit Unions
• Custodians/Depositaries
• Crypto (Payment Services)
• Crypto (Capital Markets)
• Discretionary fund managers
• Electronic Money Issuers
• Energy Market Participants
• Fintech/Regtech
• Friendly Societies
• High Value Dealers
• IFA (incl IFA divisions of financial institutions)
• Institutional investment management
• Insurance Brokers - General
• Insurance Brokers - Pure Protection Products
• Insurers
• Investment Banks
• Lead generation firms
• Lloyds
• Money Service Businesses
• Mortgage Brokers
• Mortgage Lenders/Administrators
• Multi lateral trading facility
• Payments Services Institutions
• Pension Advisors
• Pension Scheme Operator/Provider
• Private Client investment management
• Recruitment of Regulatory Staff ( Registered Recruiter)
• Restricted financial advisers
• Retail investment management
• Sale and Rent Back
• Secondary Intermediaries
• Securities and Futures firms
• SIPP providers
• Stockbrokers
• System Providers
• System suppliers
• Third party product providers
• Trade associations, professional bodies and regulators
• Travel Insurers
• Trust Service Providers
• Wrap Platforms