11 Oct Dart Compliance Limited
Posted at 12:07h
in Uncategorised
Services Offered
- 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