our services are tailored for you
Our Services
Our services are split into advisory and stand alone, below are some of the key areas we can help with.
Regulatory Change
Rules are always changing and keeping up can be a challenge. Our team of experts have tackled some of the biggest regulatory changes such as MiFID II, PSDII and SMCR. We assist firms quickly understand how new regulation applies that can digested with ease.
New Authorisations
The first step into the regulatory world, getting authorised. We know first hand how daunting this is, the FCA have not made the process easy and have raised the standards for authorisation. Whether you’re a new firm looking to get authorised or an existing firm expanding your scope of activities. We can help you eliminate uncertainty. Saving you time and money.
Conduct of Business
We’re here to serve you and your firm. We help firms like yours with everyday issues such as financial promotions and client categorisations and the more complex issues such as best execution. Our team are here to take the stress of compliance out of your hands and provide you with the answers you need….in no time!
Policies & Procedures
Whether it’s an annual review of your suite of policies or designing new procedures. Our team can support you with a click of a button. We see time and time again firms with outdated policies and procedures. Our quick turnaround time and affordable prices means you can ensure all your policies and procedures are up to date.
Applications & Notifications
Ensuring the right things are mentioned to the FCA is vital, we have experience on both sides of the fence, from reviewing cases at the FCA to preparing applications in-house, we know what makes a good submission. Which is why we can help you with your journey through a range of submissions such as providing supporting documentation to reviewing submissions
Reporting
Reporting can be very time-consuming, especially if you’re not familiar with the RegData reporting system. Or perhaps you’re struggling with cross-validation issues. This is where we can help you with our comprehensive knowledge of the RegData reporting system and the varied reports that your firms need to report.
Ongoing Compliance Support
We want firms to have easily accessible compliance support without the unnecessary high price tags. Our monthly fixed fee gives you just that. No unnecessary onboarding. Service provided faster then traditional consultancy firms. Call us know to see what we can do for you
Training
Compliance has evolved dramatically over the past number of years becoming a key voice in a regulated business. This is why training, which we provide covers many key aspects that are delivered by experts who are able to balance the commercial and regulatory interests of the business.
Other
If you are looking for help with any other compliance related topic, schedule a consultation now to see how we can help.
