An independent compliance and operational risk consultancy. Providing advice on: corporate authorisations – acquisitions and other changes in control, – variations of permission – passporting, fund structuring and domicile – fund establishment and documentation – compliance monitoring programmed advice and audit – training and competence – training requirement surveys – training programme development and delivery – ongoing compliance advice – risk management systems advice, risk reviews – ICAAP review and development – SYSC documentation oversight process.  governance reviews – pre-FCA visit reviews and SIF training.  Support with Gabriel and ONA as appointed users.

• Authorisation -FCA
• Complaints Handling Reviews
• Compliance advice
• Compliance Support
• Compliance Training
• Due Diligence
• Enforcement Action - Financial Services
• Expert Witness - Financial Services
• File Review
• Health Checks
• Money Laundering/Financial Crime Advice and Reviews
• Regulatory Updates

• Claims Management Companies
• Collective Investments Funds
• Consumer Credit Providers
• Corporate Finance Firms
• Custodians/Depositaries
• Discretionary fund managers
• Electronic Money Issuers
• Institutional investment management
• Private Client investment management
• Retail investment management