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FCA/PRA Authorisations. Too many regulatory compliance consultancies provide a range of stock or off the shelf services, but we are leading fca compliance & authorisation consultants and provide bespoke services at a high standard. FCA Authorisation, Registration or Licencing and variation of permissions are often and can be a very involved process requiring you to know not only your business, but also how your business works and the risk areas it is likely to be impacted by. Go Here For Details.
Compliance Benchmark Audit & Projects. We assess, compare, test, evaluate and score your compliance systems and controls against best practice and the latest regulations. We check your Governance from Terms of Business to Compliance Manual, AML/KYC through to Outsourcing polices. Robust and coherent governance is fundamental to any successful, compliant and profitable financial services company. We also conduct FCA compliant regulated complaints assessment and complaint management. Go Here For Details
Training Solutions. We have an impressive array of training courses available covering a number of subjects and implementations (such as SMCR) and will amend/alter and update each course to be specific for you. These elements (including any changes) have to be recorded, monitored and stored under some new regulations. There is also the recognised need and increased benefits for face-to-face training over and above any online-refresher. Go Here For Details.
We work with incubator start-ups through to Multi-National Banks and Investment Funds.
Certified Compliance Manager Course.
Get More Details HERE!
Our Projects Are Mainly Fixed Cost and Include Many Extras You normally Have To Pay For as Add-ons.
Plus, We Have Accredited Compliance Training Options from
The Global Compliance Institute.
Yes, we work with different firms on their independent assessment of complaints, we review the file and create a response for the firm to send, with appropriate redress and, compensation if necessary. We can manage the complaints completely, or just do the review and assessment. The choice is yours.
Yes, we work with different firms on their independent assessment of files to ensure suiitability of their files. We have created and enhanced a review report that you can use in your advisers Training & Competence plan or just keep the findings for MI purposes. We provide real-life and practical suggestion for any remediation and our scoring is similar to the FCA’s, so you can understand any areas of weakness; the choice is yours.
Yes. We help you create your application pack and make sure you have the right forms and the right content in your business plan. Whatever state your business plan is, and the story it tells, we can help make it into a robust ‘regulatory business plan’ as well as convert it into a regulatory story using the right words and phrases the regulator understands; without this solid foundation you will likely fail. From ATMs to brokers, we can help crypto firms get registered for Anti-Money Laundering and Counter Terrorist Financing.
Yes. We help you create your application pack and make sure you have the right forms and the right content in your business plan. If your business plan is very simple, we can help make it into a robust ‘regulatory business plan’ as well as convert it into a regulatory story; without this solid foundation you will likely fail.
*Except with fair warning after delays by you in responding
We are effective because we do not have consultants sitting around like the big players in our market. They have many “consultants” of differing grades washing around their business dependant on business levels at the time. These people need to be paid when they are idle, so they build that into their pricing model. Compliance Consultant only use qualified and seasoned professional consultants, and we only price them into the project for when they are being used; this means better efficiencies for you, simpler project pricing (we mainly use fixed prices) for us and flexibility all round as we are not charging on a per diem basis (whether they are there or not).
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