Specialist FCA compliance consultants for technology-based, innovative and alternative finance firms.

• Client Assets
• Complaints Handling Reviews
• Compliance advice
• Compliance Support
• Compliance Training
• Contracting/Interim
• Documentation
• Due Diligence
• Enforcement Action - Financial Services
• Expert Witness - Financial Services
• File Review
• Health Checks
• Information Security/Data Protection (GDPR)
• Money Laundering/Financial Crime Advice and Reviews
• Passporting/International Compliance
• Payments Services Registration and Compliance
• Regulatory Capital/Solvency
• Regulatory Returns Assistance
• Regulatory Updates

• Building Societies
• Claims Management Companies
• Collective Investments Funds
• Consumer Credit Providers
• Corporate Finance Firms
• Custodians/Depositaries
• Discretionary fund managers
• Electronic Money Issuers
• IFA (incl IFA divisions of financial institutions)
• Institutional investment management
• Insurance Brokers - General
• Insurance Brokers - Pure Protection Products
• Insurers
• Investment Banks
• Lead generation firms
• Money Service Businesses
• Mortgage Brokers
• Mortgage Lenders/Administrators
• Multi lateral trading facility
• Payments Services Institutions
• Pension Scheme Operator/Provider
• Private Client investment management
• Restricted financial advisers
• Secondary Intermediaries
• Securities and Futures firms
• SIPP providers
• Stockbrokers
• Travel Insurers
• Wrap Platforms