11 Oct Ellison Compliance Limited
Posted at 13:09h
in Uncategorised
About
With over 35 years financial services experience, we provide bespoke compliance services to a wide range of FCA authorised firms, either on a retained, ad hoc or project basis. Our aim is to give you peace of mind that all the regulatory aspects of your business have been taken care of, leaving you to concentrate on running and developing your business.
Based in the Midlands, we are ideally located to offer face to face support throughout the UK but can also provide services remotely if required.
Services Offered
- Advice pre regulatory risk assessment or supervised visit
- Authorisation - FCA
- Complaints Handling
- Compliance Advice
- Compliance Support
- Compliance Training
- Due Diligence
- File Reviews and/or Monitoring
- Health Checks
- Information Security / Data Protection
- Money Laundering / Financial Crime
- Payment Services Compliance
- Regulatory Returns
- Regulatory Updates
Firms Served
- Consumer Credit Providers
- Discretionary Fund Managers
- Financial Advisors
- IFA's - Wealth Managers
- Insurance Brokers - General
- Insurance Brokers - Pure Protection Products
- Money Service Businesses
- Mortgage Brokers
- Mortgage Lenders/Administrators
- Payments Services Institutions
- Pension Advisers
- Restricted Financial Advisors