Compliance Support

We can check that your compliance systems and controls are fit for purpose and that you are able to manage your regulatory risks.

This can be a specialised review on a specific area of concern that you may have or it can cover key themes.  We will work with you to agree the terms and we will deliver on those terms.

We are FCA specialists and have a technical understanding of the FCA rules and requirements as well as the broader compliance related matters.  

If you need a solution to a particular query please contact us and we can help you.  You will only pay for the time we spend on your query.

We can provide you with an independent assessment.   Our audits will provide you with a clear summary of any areas of concerns and clearly detail the actions required to address the issues.

We can review your files, policies and procedures to ensure that they meet the regulatory requirements and are aligned to good industry practise.

We can provide you with a fresh technical perspective.

As a regulated business you will be required to provide a number of standard and by exception notifications to the FCA such as a Variation of Permission if you intend to change your business activities.  

We can identify and prepare the relevant notification for you.  For further information please refer to our blog.

We are able to provide you with onsite or remote compliance training through Zoom or MS Teams.

We will provide you with a tailored training package which is proportionate and relevant to your business and includes meaningful examples relating to your day to day activities.