Services
Whatever needs and responsibilities you have, you’ll get the tailored support you require with us. From one-off projects to a fully outsourced compliance service, our experienced team can help.
Bespoke projects
All our services are customised to you. If you need support with a specific project, we’ll help create and implement a plan that suits you. Whatever you require, you’ll receive the expertise you need.
Compliance partnership package
If you don’t have the experience or time in-house, you can outsource your entire compliance activity to us. We’ll take care of your obligations, giving you peace of mind.
Consumer Duty
The FCA’s Consumer Duty rules might mean making big changes, but with the right support in place, there’s no need to worry. Join the growing number of clients who’ve benefited from our help.
Document library
When you select a relevant support package, you receive access to our extensive library of useful documents, all of which can be personalised to your business. From templates to policies and more, see what’s available here.
Due diligence
We’ll use our expertise to ensure due diligence is carried out effectively and your regulatory obligations are met. We provide an in-depth review of the target firm, representing you in a positive way while identifying any risks.
FCA authorisation
Seeking authorisation for your business can be nerve-racking, so you need support from a team that knows the steps involved. Our expert help will make the process a little smoother.
FCA compliance
If you struggle to stay on top of your regulatory obligations while running your business, outside support might be useful. Under this service, we can provide as much or as little FCA compliance support as you need.
File reviews
Our experts will provide ongoing monitoring of your files for suitability and competence, with a focus on the collation of “know your customer” (KYC) information.
Investment Firm Prudential Regime (IFPR)
As the single biggest change since prudential requirements were introduced, IFPR requires MIFIDPRU firms to take a deeper look at their risk framework and capital requirements. Our bespoke support packages, tools and guidance will make things clearer.
Regulatory health checks
Is your compliance in the best possible shape? If you’re unsure of the answer, our experts will carry out a full compliance benchmarking assessment to help you identify and resolve any issues.
Senior Managers and Certification Regime (SM&CR)
From senior managers to onboarding new advisers, are you confident as to your obligations? It can be tricky to understand how SM&CR applies in your firm. Choose us, and we’ll ensure you understand the rules and implement change successfully.
Training and competence (T&C)
Ensuring your team has the right skills for the job is vital, not only from a business standpoint, but also from a regulatory one. You’ll receive all the bespoke T&C support you need from our experts.
Who we help
If you need bespoke compliance support, you’re in the right place. We’re proud to be based in Manchester, but our friendly experts work all over the UK, delivering tailored services to:
- Financial advisers and planners
- Discretionary fund managers
- Mortgage brokers.
