22 Nov TC Compliance Services Limited
I am a freelance compliance consultant working with several firms of different sizes. I have previously been an adviser, which gives me a good understanding of the advice process and dealing with customers and I enjoy a close relationship with my adviser clients. I offer a wide range of services including training & competence supervision, file checking, report writing and FCA Connect and liaison with regulators. I also write articles that are published in the trade press.
Address
Services Offered
- Authorisation -FCA
- Complaints Handling Reviews
- Compliance advice
- Compliance Support
- Compliance Training
- Due Diligence
- Enforcement Action - Financial Services
- File Review
- Health Checks
- Money Laundering/Financial Crime Advice and Reviews
- Regulatory Updates
Firms Served
- Insurance Brokers - General
- Insurance Brokers - Pure Protection Products
- Mortgage Brokers
- Mortgage Lenders/Administrators
- Pension Scheme Operator/Provider
- Private Client investment management
- Retail investment management