15 Oct Telos Solutions Limited
Telos can mobilise some of the most experienced – and high profile – compliance experts in the financial services industry.
All regulated firms need to consider the difference between being half a step behind – and half a step in front.
Being half a step behind requires the full effort and cost to be compliant – but risks falling foul of the regulators.
Being half a step ahead doesn’t cost much more in the short term but saves a huge amount in the medium term, and creates elbow room to integrate compliance into the business efficiently.
It’s possible to get half a step ahead by taking the regulators speeches, comments and informal briefings into account, by understanding how the regulator is likely to think – and by talking to us. That’s where we operate, and that’s where our successful clients are now.
- SKILLED PERSONS REPORTS (S166 AND S166A)
- RELATIONSHIP WITH FCA
- SYSTEMS AND CONTROLS (SYSC)
- CONDUCT OF BUSINESS
- REGULATED ADVICE
- COMPLAINTS AND DISPUTE RESOLUTION
- PAST BUSINESS REVIEWS AND REMEDIATION
- AUDIT & POST IMPLEMENTATION REVIEW
- CONSUMER CREDIT
- LIFE, HEALTH AND PENSIONS BUSINESSES
- WEALTH MANAGEMENT
- BUILDING SOCIETIES
- FRIENDLY SOCIETIES
- PEER TO PEER LENDING
- Authorisation -FCA
- Client Assets
- Complaints Handling Reviews
- Enforcement Action - Financial Services
- Expert Witness - Financial Services
- File Review
- Money Laundering/Financial Crime Advice and Reviews
- Payments Services Registration and Compliance
- Regulatory Returns Assistance
- Regulatory Updates
- Consumer Credit Providers
- IFA (incl IFA divisions of financial institutions)
- Insurance Brokers - General
- Investment Banks
- Mortgage Brokers
- Mortgage Lenders/Administrators
- Retail investment management