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MAKING COMPLIANCE WORK

The UK's Leading Financial Services Regulatory Compliance & FCA Authorisation Consultancy

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BENCH-MARKING AUDITS

Identify Areas Where You’re Are Doing Well, Not So Well & Areas That Need Improvement.

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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.

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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.

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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.

ANNUAL COMPLIANCE MONITORING PLAN

If Strategy, Risk, Governance & Compliance are your goals, we can offer exceptional experience based ideas for you.

FREQUENTLY ASKED QUESTIONS

More about our services and how we can help you.

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 at extra cost, but without this solid foundation you will likely fail.

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.

We work on the simple premise of “Improving our client’s condition “, which to us means that you have to have value over and above the cost involved. Cost should never be confused with price as there is a distinct difference. Price is the amount of money involved in a transaction. Cost is the complete, long term benefits (or lack of them) plus the initial upheaval and management time involved in the implementation and execution of the project.

We do not have a menu or tariff of charges as we operate on a bespoke and personalised service. We will assess the work involved for any project or exercise and provide a price that is fixed for the project achieving it’s outcomes. All outcomes need to be defined in advance and be measurable. If it takes us 6 weeks, or six months, we don’t ask for any additional money*. Equally, if we achieve the outcomes before you initially expect, we do not provide refunds. If your accounts department needs a per diem cost, we can assist them in understanding the benefits of a fixed price contract.

We have been operating since the year 2000 and have helped many firms from one-man bands through to banks to start up and set up with FCA Approval, reviewed countless policies and procedures (AML, CFA, CofI, TCF etc) as well as created Governance, Risk & Compliance (GRC) Frameworks; some with major UK companies.

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