Do you need help with FCA compliance or any other type of compliance? I can help your firm become authorised with the FCA as well as provide on-going support if you are already regulated. I can help embed appropriate systems, controls and processes. I have first hand experience in speaking with the regulator. The service I offer comes with visits, telephone and email support, depending what your firms’ requirements are, as I can tailor a compliance solution that’s right for you and your firm.
• Advice & Support
• FCA applications for Authorisation
• Compliance Health Check
• Compliance Monitoring
• Financial Crime
• Operational risk
• Senior Management Regime
• Financial Promotions
• S166 support
(advertising and social media).
Whilst the majority of FCA regulations can be applied to multiple firms, I can ensure that you understand the rules specific to your sector and that they are adhered to correctly.
I will listen to your needs and tailor your package to ensure the best value for money.