22 Nov The Catt’s Eye View
About
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.
Services Offered
- Advice pre regulatory risk assessment or supervised visit
- Authorisation - FCA
- Complaints Handling
- Compliance Advice
- Compliance Support
- Compliance Training
- Contracting / Interim
- Documentation
- Due Diligence
- File Reviews and/or Monitoring
- Governance
- Health Checks
- Information Security / Data Protection
- Money Laundering / Financial Crime
- Pension Reviews
- Regulatory Relationship Management
- Regulatory Returns
- Regulatory Updates
- Risk Management
- ESG Investment
Firms Served
- Financial Advisors
- IFA - Financial Institutions
- IFA's - Wealth Managers
- Insurance Brokers - General
- Insurance Brokers - Pure Protection Products
- Mortgage Brokers
- Pension Advisers
- Private Client Investment Management
- Restricted Financial Advisors
- Retail Investment Management
- Wrap Platforms