Compliance Services

A range of compliance services to suit you

Compliance Support

Your strategic partner providing you with industry-leading ongoing compliance advice and support which keeps pace with the ever-evolving regulatory environment.

We offer an all-round service covering ongoing or ad-hoc advice through our bench of consultants, rigorous compliance monitoring or simply general day-to-day compliance operational support.

Bespoke Projects

Having owned and run authorised firms this is our area of strength. We know how difficult it can be to juggle compliance requirements with running and growing a business.

If you need support with project delivery, from implementing regulatory change to launching a new product, we will work with you to develop and execute a customised plan on time.

Regulatory Change

We track new regulations from any relevant body and can discuss with you how you are affected and what you need to do.

We can look after any or every part of the regulatory developments process for you, allowing your business to focus on it core priorities.

Regulatory Helpdesk

A go-to dedicated expert who is always on hand to answer a specific challenge or question.

Having run compliance functions we know how valuable it is to get an opinion or guidance on a matter exactly at the point you’re thinking it through.

Compliance Healthcheck

Our Compliance Healthcheck gives you comfort and peace of mind that you have appropriate compliance arrangements in place.

Our Healthcheck service is a diagnostic review of the levels of compliance and FCA regulatory standards across your business and is designed to provide you with a holistic view.

Consumer Duty

Whilst the FCA’s Consumer Duty has been implemented the key is making sure it is firmly embedded in your business.

The biggest mistake we see firms make is meeting a regulatory deadline at great cost but reaping no benefits, failing to embed practices and having to revisit it at a later date.

FCA Regulatory Applications

If you are looking for FCA authorisation for the first time or need support with changes to permissions, controllers, legal status or approved persons, then we can help.

Obtaining regulatory authorisation or approvals for your business can be a daunting task which is why we're on hand to walk you through the intricacies of the process.

Due Diligence

We provide risk based commercially focused regulatory due diligence reports which anticipate emerging risks and ensure a confident and informed business acquisition process.

We conduct a comprehensive review of your target firm's compliance systems, prioritising the anticipation of emerging risks.

File Reviews

We provide tailored ongoing monitoring of your files for suitability and competence, with a focus on the collation of “know your customer” (KYC) information.

We will work closely with you to provide an assessment of your client files, against the regulator’s principles and any specific requirements you have.

IFPR

Our specialist prudential advisers can help you with your current and future capital requirements and business planning to ensure your continued prudential health.

We have a deep understanding of both old and new prudential regimes and the expertise to interpret your prudential requirements.

Client Money & Assets

We specialise in CASS and offer a range of comprehensive solutions as well as direct access to some of the best CASS SME’s in the industry.

An area of exceptional strength for our platform as our founding members have run authorised firms responsible for the safeguarding and administering of billions of pounds of client assets.

SM&CR

Our range of SM&CR services delivered by experts who have a first-hand knowledge of the regime.

With hands-on experience in implementing SMCR and having held Senior Management Functions (SMF), our experts bring a wealth of practical knowledge.

Document Library

Explore our comprehensive library of customisable documents, ranging from suitability templates to T&C checklists and beyond.

We fully understand the amount of documentation an authorised firm has to hold and maintain, which is why we offer access to a full resource library, either on subscription or per item.

Regulatory Training

We specialise in providing training of all sorts, from all staff refreshers to one-on-one training for senior managers to tailored sessions for boards and NEDs.

We offer engaging and personable trainers to deliver first class face -to-face training – whether in person or via video conferencing.

Remediation & Redress

We can support you by reviewing past business from a regulatory perspective, providing either positive assurance, or recommendations for further action.

We will provide you with constructive and actionable feedback and recommendations on how to approach any back-book review and any subsequent redress exercise.