14 Oct Millen Compliance Limited
Millen Compliance Ltd are a successful team assisting IFA firms, throughout the UK, with their regulatory requirements. We offer a bespoke service for each firm to relieve the burden that compliance can bring. We have specialists covering Investment, Pension, Life, Mortgage and General Insurance together with in-depth knowledge and experience of Training and Competence, Treating Customers Fairly, Data Security, Business Risk, Anti-Money Laundering.
We can assist firms with business or asset sales and acquisitions. We also have a document storage and scanning solution for financial services firms. We are specialist auditors for Defined Benefit Pension Transfers, Pensions and Investments and carry out many audits on behalf of the Professional Indemnity Insurers. Our auditing team are some of the UK's leading pension specialist technicians.
We can also assist IFA firms and Claims Management Companies in relation to technical issues or case auditing in relation to a complaint or potential complaint.
- Authorisation - FCA
- Complaints Handling
- Compliance Training
- Due Diligence
- Expert Witness - AML and Payment Services
- File Reviews and/or Monitoring
- Health Checks
- Information Security / Data Protection
- Money Laundering / Financial Crime
- Regulatory Capital / Solvency
- Regulatory Updates
- Authorised Professional Persons
- Financial Advisors
- Insurance Brokers - Pure Protection Products
- Insurance Brokers - General
- Mortgage Brokers
- Mortgage Lenders/Administrators
- Pension Advisers