On behalf of UK Compliance Consultant Limited, please ensure that you have read and understood the details contained within these Terms and Conditions.

Download a Copy Here

We intend to rely on these details if there is ever any question about the content or the impact of any actions we may commit. If there are any areas that you do not fully understand or have any reservations, please query them immediately and sign this document only when you have gained total satisfaction on your enquiry.

Compliance Consultant, Compliance Compass and Compliance Doctor are trading styles of UK Compliance Consultant Limited. We are members of the Association of Professional Compliance Consultants (APCC – https://apcc.org.uk); the only trade body recognised by the regulators. We are also members of the Alliance of Independent Compliance Management Consultancies (AICMC – https://aicmc.uk).

Compliance Consultant always use appropriately qualified and experienced personnel for all aspects of their work. Lee Werrell is a Chartered Fellow of the CISI (Chartered Institute of Securities & Investments) the highest attainable qualification. Our Senior Consultants are all QCF Level 6+ qualified. We will also use industry qualified persons typically of the CII (Chartered Insurance Institute) to level 4 minimum.

Data Registration details: UK Compliance Consultant Limited – Reference: ZB536520

DEFINITIONS

In these Terms of Business:

Company refers to UK Compliance Consultant Limited, trading as Compliance Consultant, Compliance Doctor and Compliance Compass UK.

Client refers to any individual or organisation engaging our services.

Services refers to all professional services provided by the Company. These may include but are not limited to;

1. 1. Retainer services.
   2. Review Services with a report.
   3. Assessment Services with a report.
   4. Complaint Management Services.
   5. Retail File Checks for Suitability.
   6. Compliance Audits with report.
   7. VREQ or S178 Change of Control – see also Section 15.

FCA AUTHORISATION OR REGISTRATION “Cancellation” is defined as on receipt of either issuance of the FCA (“minded to approve” or “minded to reject” email or the firm or senior manager functions appearing on the FCA register), decision to cancel the authorisation application before the initial application has been submitted, withdrawal of the relevant application after submission, non-communication by the client for 14 days from our last request for information, or 12 months from the initial payment (as applicable). Banking licence or large firm (over 20 people) work involves a more complex payment scheme, price is on admission.

APPLICATION OF TERMS

1. These Terms of Business apply to all services provided by the Company and supersede any previous agreements or understandings.

2. Any variation to these terms must be agreed in writing between both parties.

SERVICE DELIVERY

• The Company will provide services with reasonable skill and care, conforming to industry standards.
• Delivery timelines will be agreed upon in writing at project commencement.

• All work carried out by or at the responsibility of Compliance Consultant for clients is subject to these Terms & Conditions. These terms may be varied or excluded (in whole or in part) by any proposal, scheme of work or other agreement, including any subsequent agreement in writing originated and communicated with and on behalf of Compliance Consultant and the client, but not otherwise. Email exchanges including instructions, enquiries or other requests will be considered acceptable only if they are from the client’s business domain.
• Compliance Consultant represents, warrants, and covenants that at all times it complies with all applicable laws and regulations (and as such laws and regulations may have been amended or may be amended from time to time in the future) in performing its obligations.
• Compliance Consultant confirms that it does not discriminate against any employee or applicant for employment because of race, colour, religion, sex, national origin, age, disability, sexual orientation, creed, citizenship status, marital status or any other category protected under any law or regulation, in respect of any matter, including the following: employment, promotion, demotion or transfer, recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selections for training, including apprenticeship.
• Compliance Consultant complies with all privacy and data protection and other laws, rules, and regulations, including without limitation the Data Protection Act 2018, as amended from time to time and the UK GDPR.

1. PAYMENT TERMS

Payment Schedule

• All invoices are due within 7 calendar days of the invoice date.
• Initial or Commitment payments are payable on receipt of funds. This is the “Commencement” of work.
• For projects exceeding £5,000 (ex VAT), a 50% deposit is required before work commences.
• Larger projects are invoiced every two weeks.
• Retainer services are charged monthly in advance.
• Final payment must be received before 7 days from final deliverables. If there is further agreed revision, one will be included where notice for change is received within 14 days of delivery.
• Discounts may be offered for payments in advance up to the discretion of Compliance Consultant. Our minimum payment to be able to offer split or staged payments is £5,000. If you need funding to arrange your service over £10,000, we have a negotiated and preferred option available; please ask for details or use this link.
• International clients may be expected to pay any initial commitment fee to the level of 75% of the total in advance unless we have previously conducted business together. This will be confirmed in writing.

Service**	Initial or Commitment payments	Payment Terms over £5,000 + VAT	Payment Monthly or quarterly	Payment within 7 days of final delivery. **
Retainer services.	No	Not Applicable	Yes (Quarterly Discount available)	Not applicable
Review Services with a report.	Yes	50% in advance	Not applicable	Yes
Assessment Services with a report.	Yes	50% in advance	Not applicable	Yes
Complaint Management Services.	Not Applicable	Not Applicable	Not applicable	Yes
Retail File Checks for Suitability.	Not Applicable	100% in advance	Yes – In advance*	Yes
Compliance Audits with report.	Yes	50% in advance	Not applicable	Yes
Others**	Subject to proposal	Subject to proposal	Subject to proposal	Subject to proposal

*Credit carried over.  ** All proposals are valid for 30 days.

 Please Note: All proposals are valid for 30 days.

Late Payments

• Late payments will incur interest at 8% above the Bank of England base rate.
• Work may be suspended on overdue accounts until payment is received.
• All costs associated with debt recovery will be charged to the Client.

Past-Due Accounts

Any business that has three overdue payments within the previous 12 months will be reverted to initial advance payments for an estimated price in the case of consultancy specialisms, or full price of the fixed rate proposal before any work is started.

Delinquent Accounts

We define any account past 14 days as delinquent. We will issue a “Final Reminder” at any time after two weeks from the invoice raised date. No further reminders will be issued, and we reserve the right to add the administration fee and to take further action without notice. Further action may include transfer of the debt to a debt-collection agency; informing any trade bodies, regulators, or other “official” bodies that the late payment notice reminder has been issued and no response was received within a reasonable period. Warnings may be issued but we reserve the right to proceed without notice. We will always abide by the Civil Procedure Rules Pre-Action Protocol. We refer to paragraphs 13 to 16 of the Practice Direction — Pre-Action Conduct and Protocols concerning the Court’s powers to impose sanctions for failing to comply with its provisions.

We reserve the right to inform credit rating agencies directly with any delinquent, unpaid or overdue accounts of 30 days or more. We may also inform the regulator that you are linked with. All notifications are in our absolute discretion.

Late Payment of Commercial Debts

We reserve the right to claim interest, compensation, and reasonable costs under the Late Payment of Commercial Debts (Interest) Act 1998 and it is agreed that the term implied by that Act shall apply after any judgment as well as before. Any reference to the Late Payment of Commercial Debts (Interest) Act 1998 is also a reference to any amendment, modification, or re-enactment of it. If for any reason the Late Payment of Commercial Debts (Interest) Act 1998 does not apply interest shall be payable on overdue amounts at 8% over the Bank of England Base Rate from time to time.

Without prejudice to our right to claim costs under the Late Payment of Commercial Debts (Interest) Act 1998, if for any reason any payment is not made when due Compliance Consultant reserve the right to be paid on an indemnity basis any cost we incur in recovering any money due under this contract (and the costs of recovering such costs) including our administrative costs and any costs incurred with lawyers or debt collection agencies. Compliance Consultant administrative costs may include the cost of employing the staff concerned and the overheads attributable to them for the time spent. In calculating our administrative costs credit will be given for any compensation due under the Late Payment of Commercial Debts (Interest) Act 1998.

If proceedings are issued a minimum contribution of £245 (in addition to the fixed costs of issue) will be claimed towards any costs incurred with legal advisers.

Refunds

We guarantee our work and as such all payments are due before the start of any work or ‘planning’ meetings. If you wish to postpone, delay, or reschedule, you may do without penalty and without time limit. If payment is to be split (usually with a minimum 50% up-front) the remainder is payable by the end of 65 days from the payment of the initial fee unless otherwise agreed (i.e., authorisation work). This means that the full amount is not contingent upon specific deliverables. No refunds are provided, and all remaining payments are due as specified, regardless of other issues or outcomes. We will, at our discretion make refunds in certain situations, see “FCA/PRA Authorisation (including Registrations) Submissions” above. Chargebacks will be treated as fraud unless we admit liability in writing. Any “Products” purchased, including templates, eBooks etc, are considered as full and final payment. No reimbursements will be made.

NOTICE PERIODS

Proposals

All proposals are subject to 30 days maximum before expiry, unless stated.

Service Termination

• Standard notice period: 30 calendar days written notice.
• Emergency termination: 7 calendar days written notice (subject to additional fees).
• Notice must be provided in writing via email or registered post.
• For regular, retainer or other ongoing fees, we will apply notice periods equivalent to the period of normal payment (i.e., one month or quarter) as applicable and will in effect be terminated at the end of the following month or quarter, if relevant. No pro-rata refunds will be made.

PROJECT CANCELLATION

• Projects cancelled with less than 30 days notice will be charged at 50% of the agreed fee.
• Projects cancelled after Commencement will be charged for work completed plus 25% of the remaining project value.

INTELLECTUAL PROPERTY

• All intellectual property created during the project remains the property of the Company until full payment is received.
• Upon full payment, specified deliverables and their intellectual property rights transfer to the Client.

CONFIDENTIALITY

• Both parties agree to maintain the confidentiality of any sensitive information shared during the engagement.
• This obligation continues for 2 years after the termination of services.

LIABILITY

• The Company’s liability is limited to the total value of the project.
• The Company is not liable for indirect or consequential losses.

FORCE MAJEURE

• Neither party shall be liable for delays or failures due to circumstances beyond reasonable control.

DISPUTE RESOLUTION

• Both parties agree to attempt to resolve disputes through mediation before pursuing legal action.
• The arbiter will be agreed upon by both parties.
• If no agreement can be made on the appointment, we will rely on an arbiter to be appointed by the President for the time being of the Law Society, London. The costs of any such arbitration shall be in the discretion of the Arbitrator whose award will be considered and taken by the parties as final and binding.
• These terms are governed by the laws of England & Wales.

COMMUNICATION

All formal notices must be in writing and sent via:

• Email (with delivery confirmation) to info@complianceconsultant.org.
• Registered post to our registered business address.
• Responses to communications will be provided within 2 business days.

AMENDMENTS

• The Company reserves the right to amend these terms with 30 days written notice.
• Continued use of services after notification constitutes acceptance of amended terms.

FCA AUTHORISATION OR REGISTRATION APPLICATIONS

We will conduct authorisation work for clients on an individual basis. Some categories are inherently more complex and will demand a higher fee. We will endeavour (although not guarantee) to offer a fixed fee in most cases. “Cancellation” is defined as on receipt of either issuance of the FCA (“minded to approve” or “minded to reject” email or the firm or senior manager functions appearing on the FCA register), decision to cancel the authorisation application before the initial application has been submitted, withdrawal of the relevant application after submission, non-communication by the client for 14 days from our last request for information, or 12 months from the initial payment (as applicable). Banking licence or large firm (over 20 people) work involves a more complex payment scheme, price is on admission.

Submission of Documentation

No documents will be uploaded without your review and approval. We cannot be held responsible for any errors. Most cases are submitted in around 6 weeks from inception.

Application delays

If your application is not submitted within 90 days of the receipt of initial payment, we will archive your project and to restart may incur a £300 charge (+VAT). Additionally, if there are any increases to the regulatory requirements from the date of archiving to the restart date, we will charge an appropriate amount on top of any fixed fee agreement originally made.

Your Responsibility

It is your legal duty to ensure you understand all of the requirements of legislation that affect your business. All regulatory responsibilities should also be understood by you. All Senior Managers are responsible for making true and accurate statements as well as declarations and affidavits as required.

FCA Interviews

We cannot and do not guarantee successful regulatory applications (authorisation or registration) due to the complex nature of people and businesses beyond our control and the assessment of their levels of competence or professionalism. Only the regulator can approve the applicant, and we have no influence on their final decision. Any guarantees are therefore null and void in this occurrence.

Qualification & Training

It is your responsibility to ensure that you, or a senior management person nominated for the role/s has adequate and sufficient experience and appropriate training to demonstrate competence to the regulator. We cannot be responsible for your failure of an application interview due to your/your senior managers, lack of competence.

If, in the exceedingly rare situation, on commencement of any authorisation work, we identify with you the need for two or more applications would be needed, we will offer you a discounted price for any additional applications. If you then decide not to proceed, we will refund only the amount after any initial work undertaken has been paid for.

Failure to meet payment of any invoice within the time stipulated, except with express written agreement form Compliance Consultant will become a breach situation. Please see Termination or Breach by Client for details.

A normal application pack preparation takes 4-6 weeks maximum with cooperation from the client. If your case exceeds 3 months from the start, Compliance Consultant will archive your case until you demonstrate willingness to continue. There will be a charge from £300 + VAT, increasing each month and you will be advised of the charges due to unarchive your case. If after a further 3 months, you have not removed the case from the archives, you will receive a 30-day termination notice whereby Compliance Consultant will cancel any future work on your case and there may be further payments due. All cases will automatically cancel 12 months after initial payment received, unless confirmed by us in writing to extend it. Please see the Refunds section for further details.

All FCA/PRA Authorisations, Registrations, Change of Legal Status or Variation of Permissions work, any final payment will be due upon cancellation (as defined above) or at the 90 days from initial payment received, or 90 days from the date of submission if submitted beforehand, whichever comes first.

All FCA/PRA Authorisations, Registrations, Change of Legal Status or Variation of Permissions work, any final payment will be due upon cancellation (as defined above) or at the 90 days from initial payment received, or 90 days from the date of submission if submitted beforehand, whichever comes first.

SPECIAL OFFERS

All special offers are time bound and will normally be available for the quick response within 7 calendar days from the date of offer. Offers are made assuming typical situations and expectations. We reserve the right to refuse any offer if the subject matter becomes apparent that it is excessive in its application.

BONUSES

Bonuses may be allocated subject to a minimum of £1,600. The service contract will commence within 7 days of proposal. The maximum free period is 12 months. Bonuses are applied at the “Compliance Consultant’s” absolute discretion. Any Bonus that carries additional benefits may be limited for a time before the benefits can be claimed.

GUARANTEES (if applicable)

Payments are in full, in advance and we will work with you to the end of the initial application and if it fails, we will resubmit your application and work with you for a further 6 months or until successful.

Some payments may be extended to accept 50% in advance and 50% on delivery. This is at our absolute discretion and will be specifically stated in any proposal or subsequent email, which will supersede this statement.

Payments can be staged at equal amounts over 6 months or 50% in advance, 25% on submission of the case (usually 4-6 weeks later) and 25% 90 days after submission.

Any email, proposal or other terms delivered by us will supersede the standard Terms of Business.

COMMENCEMENT OF WORK

Unless otherwise stated in the proposal, the client shall take all steps to enable Compliance Consultant and/or its associates to begin work not later than thirty days after acceptance of the proposal unless otherwise agreed. The client will make available or place at Compliance Consultant disposal all information facilities and personnel reasonably required by them to carry Here is the continued rewritten Terms of Business incorporating the requested changes.

SUB-CONTRACTORS

Compliance Consultant will take all reasonable steps to meet the wishes of clients and is ultimately the authority on selection of sub-contractors and associates but reserves the right (unless otherwise required in writing by the client in its acceptance of a proposal) to employ, discharge or replace at any time any sub-contractor or associate in carrying out work for clients. References in a proposal to the utilisation of the services of a particular person as sub-contractor or associate shall imply only that Compliance Consultant has consulted and intends to employ or retain such person but shall not imply that contractual arrangements have been made for such employment or retention. Where we do that, we shall be responsible entirely for the services provided unless we agree otherwise with the client that another firm or firms will be responsible to the client for their work and that we shall only be responsible for the work undertaken by Compliance Consultant

NON-SOLICITATION

Neither Compliance Consultant nor the Client shall offer employment to any member, officer or employee working on the Engagement or induce or solicit any such person to take up employment with the party; nor shall either party use the services of any member of the other party’s staff as a consultant, either independently or via a third party, during the Engagement or for a period of 12 months following the end of the involvement by the individual concerned with any work pursuant to the Engagement without the prior written consent of the other.

OTHER TERMINATION INCLUDING RETAINED SERVICES

If we consider that our working arrangements with you are, in our absolute opinion, identified to be abusive, coercive, bullying or harassment, or otherwise lacking the respect due in any business arrangement, we will provide any applicable notice to you or, if we only do occasional work for you on a casually charged basis, we will terminate any association with you with immediate effect.

If we become aware of any criminal activity either alleged by the authorities or officially charged, we will terminate any agreement with your company immediately and without delay. Any outstanding fees will be required to be paid immediately.

We have the right, in our absolute discretion, to reject or not accept any work from a client or potential client without providing a reason.

Retained services whereby costs are paid on a regular basis may be terminated with three months’ notice after an initial trial period, usually of 3 months, unless otherwise agreed.

SOFTWARE

If you are a user of any of our software accounts, you agree to pay either regular monthly or annual payments as invoiced depending on your business usage. The amounts vary and you will receive any increase notifications with one month’s notice. Bank Transfer, PayPal, and Credit Cards (via PayPal) are accepted for one-off and recurring payments.

VAT

If registered, Value-Added Tax (“VAT”) will be added to invoices unless proof has been provided to us that VAT is not payable. An original of the letter from the HMRC will be required by us to be copied and returned. Our VAT reference will be provided on invoices when applicable. Exemption certificates are required, or VAT will be payable. VAT is not payable outside of the UK/EU for projects delivered outside of the UK/EU.

REGULATED ADVICE

Compliance Consultant is not able to provide any advice that would be considered or construed as a regulated activity in accordance with the Financial Services and Markets Act 2000 (Regulated Activities Order). If we consider that a service might involve both non-regulated advice and regulated activities, we may be able to provide the service on condition that you select another firm for the element consisting of regulated activities. We will inform you where this is the case.

TRAVEL & TRAVELLING EXPENSES

Where travelling expenses (except mileage) is paid or payable by Compliance Consultant are to be reimbursed by the client they shall be charged at cost. The standard rate for mileage is £0.50 per mile unless otherwise stated. If Consultants are required to undertake additional travel to their normal working requirements, first, business or premier class (as applicable) is acceptable to enable work to be completed whilst travelling and travelling time will be a part of the costed service, if applicable. In all other cases, “coach” or “standard” travel will be charged whether first class, business or premier class is used. The time for travelling will however be chargeable.

FOREIGN CURRENCY EXPENSES

Where any expense to be reimbursed by the client is paid to Compliance Consultant in a currency other than Sterling it shall (unless otherwise stated in a proposal) be reimbursed in Sterling calculated at the official rate of exchange prevailing at the date when the expenses were paid for including any administration, handling, conversion, or other fee charged.

CRYPTO PAYMENTS

Any payments for fees, charges or expenses made in any cryptocurrency is through the exchange of our choosing using the prevailing rate at the time of the execution of that payment. We have no control over the changes to the prices and will accept the market price at that time. Our public wallet can be made available on request.

FINDINGS

If in the course of our work in the Perimeter Guidance Reports Service (‘Authorisation or Not’) we find that you should be authorised, we will provide a discount of 50% of the cost charged for the Perimeter Guidance Reports Service when you engage with us for the authorisation application.

With this service we provide one permitted revision based on the documentation provided. New content after your initial agreement to proceed will require re-review and reporting. Any change to your business model at any time will require a new review.

 CONTRACTUAL LIMITS

All surveys, forecasts and recommendations in any proposal, report or letter are made in good faith and based on the information before Compliance Consultant at the time. If we are provided false or misleading information, then your survey, forecasts, recommendations, proposal, submission, report, or letter will be based on this and will be subsequently invalid as evidence of malpractice or unprofessional conduct. Compliance Consultant will not be responsible for validating any data or evidence, unless expressly confirmed in a proposal or subsequent communication confirming this. No statement in any proposal, report, authorisation submission or letter is to be deemed to be in any circumstances a representation, undertaking, warranty or contractual condition. Compliance Consultant shall not be liable to the client for any indirect or consequential loss or damage. The total liability of Compliance Consultant to the client shall not exceed the value of the contract. This amount includes all claims combined, including any costs and lawyers’ fees awarded.

We will not be liable for any loss caused by reliance on our advice if the loss would have been avoided by you seeking, in a competent manner, additional advice (or, where relevant, instructions) from another individual or committee within your firm, or from legal or other advisers, or from your insurers, provided we advised you to seek such additional advice or if in the circumstances it was reasonable for you to do so. If we advise you to seek legal advice you must allow us to see that advice before you rely on any advice we have given you.

TECHNIQUES AND METHODOLOGY

Compliance Consultant intends to employ the methods, procedures, techniques, personnel, and sources of information set out in the Proposal but reserve the right to vary these as necessary or desirable in order to achieve the aims of the project. We work on an outcomes-based premise and not work solely based on deliverables or other activity.

ELECTRONIC COMMUNICATION, TRANSFER AND SECURITY

During the performance of the Engagement, we may (unless you expressly ask us not to do so) communicate with you (and with others for the purposes of the Engagement), electronically.

We may “share” document with you via our Secure Document Portal. If this method is used, you will be invited to register for a bespoke account and given instruction Here is the continued rewritten Terms of Business incorporating the requested changes:

We may “share” documents with you via our Secure Document Portal. If this method is used, you will be invited to register for a bespoke account and given instruction on how to use it. There is no charge for this.

We may, for the sake of speed and flexibility ask you to send or receive documents (unless you expressly ask us not to do so) via cloud storage (GDrive, DropBox, OneDrive etc.). Every effort is made by us to ensure that the documents are virus scanned on both upload and download through the cloud storage provider, and by using such devices accept that the sent or received document is error free.

You accept that the electronic transmission of information cannot be guaranteed to be secure or free from error and it remains your responsibility to carry out virus checks of any attachments before launching any document (howsoever received).

TrackMyRisks®

If you are a user of a TrackMyRisks® account, you agree to pay either regular monthly or annual payments as invoiced depending on your business usage (Classic up to 50 documents, Professional up to 500 documents and Enterprise for 501+ documents). The amounts vary and you will receive any increase notifications with one month’s notice. Bank Transfer, Cryptocurrency, PayPal, and Credit Cards (via PayPal) are accepted for one-off and recurring payments.

Utilisation of the “free” document storage up to 10 items is excluding an electronic Compliance Monitoring Plan (consisting of 16 documents+). If you want to use both options, additional costs will be incurred.

CONFLICTS OF INTEREST

Compliance Consultant reserve the right to act during this Engagement for other clients whose interests are or may be averse to yours, subject to copyright and confidentiality as stated, and subject to any rules, regulations or laws relating to conflicts of interest which apply in relation to the Services.

Compliance Consultant will only consider you a current client for conflict purposes where we are retained on at least one current matter for you. For these purposes, a matter in respect of which a final bill has been submitted, or a matter which has been inactive for more than six months is not a current matter even if it is possible or even likely that at some date further work may arise which is related to the original work undertaken for you.

SEVERABILITY

Should any provision or part of the Compliance Consultant Engagement be declared void, illegal or otherwise unenforceable by a court of competent jurisdiction, the provision shall be modified to the extent necessary to render it enforceable and the remainder shall survive unaffected.

COPYRIGHT

Copyright is reserved to Compliance Consultant in all proposals, reports, surveys, and other documents produced or commissioned by Compliance Consultant under or in connection with any agreement with a client. No such document shall be copied or published (in whole or in part) or disseminated to any third party without the written permission of Compliance Consultant Consultancy. Permission will not be unreasonably withheld or withdrawn provided in all cases that Compliance Consultant is satisfied that the copying or publication will not cause offence to or infringe the rights of any third party and provided further that Compliance Consultant is satisfied that such copying or publication will be of the whole of the document concerned and not of a part or selection therefrom.

Any IP rights incurred by client sponsored resource will remain with the client.

CONFIDENTIALITY

All Proposals, reports, surveys, and other documents produced or commissioned by Compliance Consultant will be treated by Compliance Consultant as confidential to the client concerned and will not be shown or passed to any third party without express written permission of the client. A copy of our Data Security Policy is available on request.

Limitations of liability and exclusions

Nothing in this Engagement shall exclude, restrict or prevent a claim being brought in respect of Losses finally judicially determined to arise primarily from wilful default, fraud or bad faith or any other liability which cannot be lawfully limited or excluded.

To the fullest extent permitted by law, Compliance Consultant will not be liable if Losses are due to the provision by you or any third party of false, inaccurate, misleading or incomplete information or documentation.

Where there is more than one Client the limit of liability specified in the Engagement Letter will have to be allocated between them. It is agreed that such allocation will be entirely a matter for them and that they are under no obligation to inform us of the allocation provided always that if (for whatever reason) no such allocation is agreed, no Client shall dispute the validity, enforceability or operation of the limit of liability on the grounds that no such allocation was agreed.

You agree not to bring any claim of any kind against any of our members, employees or agents personally in relation to the performance of the Services or the Engagement unless the claim arises from the wilful default, fraud, dishonesty or illegal acts of that member, employee or agent (but this will not exclude or limit the liability of Compliance Consultant, for the acts or omissions of its members, employees or agents performed within the scope of their authority or contract of employment as the case may be).

CONSTRUTION

These terms of business and all documents, arrangements, and agreements to which they apply shall be construed and have effect in accordance with the laws of England, and the client accepts the exclusive jurisdiction of the English courts.

COMPLAINTS PROCEDURE

Compliance Consultant want to ensure that your affairs are handled in the most efficient way by the team responsible. If you are dissatisfied with any part of our service, please tell us.

If you have a complaint about any aspect of our service which cannot be resolved to your satisfaction through the person responsible for your affairs, the circumstances of your complaint should be brought to the attention of the senior staff member of the office with whom you normally deal. Where this person is the same person responsible for your affairs, then the complaint should be brought to the attention of the Head of Quality.

Our contact details are Email info@complianceconsultant.org. or Telephone UK 0800 689 0190 International +44 (0) 207 097 1434.

Compliance Consultant undertake to look into any complaint you may have carefully and promptly and do all we can to explain the position to you. You agree that you will not take action or commence any proceedings against Compliance Consultant without first addressing your complaint to us in accordance with our complaint’s procedure.

PLEASE COMPLETE THE CONFIRMATION

CONFIRMATION

Please acknowledge the terms and conditions set out in this document by signing and returning a copy of the document to us:

 

For and on behalf of ………………………………………………………………………………………………………………………………………………

(Name of authorised individual, business or other organisation)

 

I/We received these Terms & Conditions on _______________ /or the date signed below.

 

I/we agree to the terms and conditions set out in this document and consider that we have had sufficient time to understand and query the contents to our satisfaction.

 

 

Signed …………………………………………………                  Position ……………………………… Date …………………

 

(Must be authorising Director/Partner)

Printed Name ……………………………………………………                  Company ………………………………………………….

 

 

© Compliance Consultant 2025 All Rights Reserved.  is registered with the Information Commissioner under the registration of ZB536520 in the name of Compliance Consultant. Compliance Consultant Directors are qualified by diploma and chartered members of the Chartered Institute for Securities and Investment. We are members of the Association of Professional Compliance Consultants; the only trade body recognised by the regulators. We are also members of the Alliance of Independent Compliance Management Consultancies.  Compliance Consultant is a trading style of UK Compliance Consultant Limited which is registered in England & Wales no. 14805896.