
15 Oct TCC
We know that culture is the key to commercial success for FCA regulated businesses. Happy, loyal customers lead to less complaints and the need for costly remediation. That’s why our solutions connect the dots between culture and compliance, helping our clients find better ways to tackle conduct risk.
Our specially developed regulatory technology (RegTech) works hand in hand with our human expertise, meaning our services drive higher efficiencies and insight while delivering exceptional value for money.
With roots in financial services and with regulators, we’ve gained numerous accolades for work and have become a dependable name in the field.
We’re listed on the FCA Skilled Persons Panel for Conduct of Business.

Address
Services Offered
- Authorisation -FCA
- Complaints Handling Reviews
- Compliance advice
- Compliance Support
- Compliance Training
- Contracting/Interim
- Due Diligence
- Enforcement Action - Financial Services
- File Review
- Governance
- Health Checks
- Information Security/Data Protection (GDPR)
- Money Laundering/Financial Crime Advice and Reviews
- Payments Services Registration and Compliance
- Pension Reviews
- Regulatory Updates
- Skilled Person Panel - Conduct of Business
Firms Served
- Banks/Deposit Takers
- Building Societies
- Claims Management Companies
- Collective Investments Funds
- Consumer Credit Providers
- Corporate Finance Firms
- Credit Unions
- Custodians/Depositaries
- Discretionary fund managers
- Fintech/Regtech
- Friendly Societies
- IFA (incl IFA divisions of financial institutions)
- Institutional investment management
- Insurance Brokers - General
- Insurance Brokers - Pure Protection Products
- Insurers
- Money Service Businesses
- Mortgage Brokers
- Mortgage Lenders/Administrators
- Multi lateral trading facility
- Payments Services Institutions
- Pension Advisors
- Pension Scheme Operator/Provider
- Private Client investment management
- Retail investment management
- Securities and Futures firms
- SIPP providers
- System suppliers