
15 Oct TCC
About
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
- Compliance Training
- Contracting / Interim
- Due Diligence
- Enforcement Action - AML and Payment Services
- File Reviews and/or Monitoring
- Health Checks
- Information Security / Data Protection
- Payment Services Compliance
- Pension Reviews
- Regulatory Updates
- Skilled Person Panel - Conduct of business
Firms Served
- Banks Deposit Takers
- Claims Management Companies
- Collective Investments Funds
- Consumer Credit Providers
- Custodians/Depositaries
- Discretionary Fund Managers
- Financial Advisors
- Fintech / Regtech
- Institutional Investment Management
- Insurance Brokers - Pure Protection Products
- Insurance Brokers - General
- Insurers
- Money Service Businesses
- Mortgage Brokers
- Mortgage Lenders/Administrators
- Multi Lateral Trading Facility
- Payments Services Institutions
- Pension Advisers
- Private Client Investment Management
- Retail Investment Management
- Securities and Futures firms
- SIPP providers
- Stockbrokers
- System Providers
- Wrap Platforms