11 Oct Fulcrum Compliance Limited
Complying with financial services regulation can be a burden for the smaller, owner-managed firm. The penalties for getting it wrong can be harsh.
Fulcrum Compliance provide outsourced compliance services to the FCA regulated community. We specialise in owner-managed firms, where senior management has wider responsibilities, as well as compliance. Our service helps senior management deal with the day-to-day pressure of compliance and balances the needs of the firm and the needs of the regulator.
- Authorisation -FCA
- Compliance advice
- Compliance Support
- Health Checks
- Money Laundering/Financial Crime Advice and Reviews
- Regulatory Updates
- Corporate Finance Firms
- Discretionary fund managers
- Institutional investment management
- Private Client investment management
- Recruitment of Regulatory Staff ( Registered Recruiter)
- Retail investment management
- Securities and Futures firms