29 May Executive Compliance Limited
About
Executive Compliance Limited offers a full range of compliance, financial crime and risk related services to any type of investment, payments or e-money firm at any stage of its evolution. The business is based upon the principles of transparency, value and relationship longevity. Executive Compliance Limited's priority is our client - we provide tailored solutions. They have operated in senior compliance positions with CF10/11 and SMF 16/17 responsibility to deliver the application as well as the principles.
Address
PE10 0HG
T: 07725578497
E: info@executivecompliance.org
W: https://www.executivecompliance.org/
Services Offered
- Advice pre regulatory risk assessment or supervised visit
- Authorisation - FCA
- Client Assets
- Complaints Handling Reviews
- Compliance Advice
- Compliance Support
- Compliance Training
- Contracting / Interim
- Documentation
- Due Diligence
- Enforcement Action - AML and Payment Services
- Enforcement Action - Financial Services
- File Reviews and/or Monitoring
- Governance
- Health Checks
- Mis-selling reviews
- Money Laundering / Financial Crime
- Regulatory Returns
- Skilled Persons Panel - Off FCA Panel
Firms Served
- Corporate Finance Firms
- Crypto (Capital Markets)
- Crypto (Payment Services)
- Electronic Money Issuers
- Fintech / Regtech
- Investment Banks
- Money Service Businesses
- Multi Lateral Trading Facility
- Payments Services Institutions
- Retail Investment Management
- Securities and Futures firms