FCA and PRA licenses (authorisations) and ongoing compliance support, training, recruitment. Contact us 7 days a week, 8am-11pm. Free consultations. Phone / Whatsapp: +4478 3368 4449  Email: hirett.co.uk@gmail.com
Active Compliance Services Limited
Description

Active Compliance Services Ltd are able to offer a range of compliance services to Independent Financial Advisers, General Insurance Brokers and Mortgage Brokers. The firm offers a bespoke service that is tailored to meet the needs of a particular firm. This is agreed upon discussion with the firm and generally upon undertaking an initial assessment of the business. Sharon Wilson, the Principal of Active Compliance Services Ltd, has worked in the financial services area of compliance since 1992. The firm currently advises sole traders, partnerships and small and large limited companies. The service can be adapted from a one off compliance review in a particular area to on-going compliance support to assist the firm to adapt to the changes that inevitable affect our industry. Please call to discuss your requirements further.

Address
5 Highley Hall Croft, Clifton, Brighouse, HD6 4LL
Phone Number
07764195923
Services Offered

Authorisation - FCA
Complaints Handling Reviews
File Review
Health Checks
Money Laundering / Financial Crime Advice and Reviews
Regulatory Updates

Firms Served

Consumer Credit Providers
IFA (including IFA divisions of financial institutions)
Insurance Brokers - General
Insurance Brokers - Pure Protection Products
Mortgage Brokers
Mortgage Lenders / Administrators

Accord Compliance Consultants Limited
Description

Formed in 2000, to provide professional compliance support services to the Financial Services sector, the directors and consultants have many years experience in their specialist fields – which include; pension transfers and drawdown, investments, mortgages and general insurance. We believe that there is a demand for a personal, relationship based, approach to compliance from Regulated firms – as opposed to the usual ‘one size fits all’ style. We believe that we can satisfy that demand by means of our own very practical and user friendly systems for meeting the varied needs of the IFA and Insurance/Mortgage Broker. Our policy of offering a bespoke service and our ‘hands on’ and practical approach to compliance matters means we are well placed to help you implement compliance systems and controls appropriate to your own individual operation. Please vist our website for more detailed information on our services – or please contact us directly if you have an enquiry.

Address
Pera Business Park, Nottingham Road, Melton Mowbray, Leicestershire, LE13 0PB
Phone Number
01664503780
Services Offered

Authorisation - FCA
Complaints Handling Reviews
Compliance Advice
Compliance Support
Compliance Training
Documentation
Due Diligence
Enforcement Action - Financial Services
File Review
Governance
Health Checks
Information Security / Data Protection (GDPR)
Money Laundering / Financial Crime Advice and Reviews
Pension Reviews
Regulatory Capital / Solvency
Regulatory Returns Assistance
Regulatory Updates

Firms Served

IFA (including IFA divisions of financial institutions)
Insurance Brokers - General
Insurance Brokers - Pure Protection Products
Mortgage Brokers
Pension Advisors

3 Lines of Defence Consulting Limited
Description

Specialists in all things digital including GDPR Training and Compliance services by accredited DPO.

Address
67 Grosvenor Street, Mayfair, London, W1K 3JN
Phone Number
02071291270
Services Offered

Authorisation - FCA
Client Assets
Complaints Handling Reviews
Compliance Advice
Compliance Support
Compliance Training
Enforcement Action - AML and Payment Services
Enforcement Action - Financial Services
Expert Witness - AML and Payment Services
Expert Witness - Financial Services
File Review

Firms Served

Authorised Professional Persons
Collective Investments Funds
Company Service Providers
Corporate Finance Firms
Custodians / Depositaries
Discretionary fund managers
Energy Market Participants
Institutional investment management
Investment Banks
Multi lateral trading facility
Private Client investment management
Retail investment management
Secondary Intermediaries
Securities and Futures firms
Stockbrokers
Third party product providers

C & G Regulatory Solutions Limited
Description


C & G offers businesses active in the financial services sector first class support with financial regulatory governance, risk and conduct matters. Our services include FCA authorisations, compliance support, compliance training, policy drafting and review, regulatory updates and health checks. At the heart of C & G’s philosophy is an emphasis on practical experience. If you are seeking assistance from consultants who have held senior positions in industry at competitive rates, contact us today. For more information please e-mail enquiries@cgregulatorysolutions.com or visit https://cgregulatorysolutions.com/.

Address
20 St. Andrew Street, London, EC4A 3AG, UK
Phone Number
02380302100
Services Offered

FCA Authorisation
Complaints Handling/Reviews
Compliance Support
Compliance Training
Contract Services/Interim Locum Support
Documentation
Expert Witness
Financial Crime /AML
Governance
Regulatory Updates
Risk Assessment /Management

Firms Served

Crypto/AML
Hedge Funds
IFAs
Investment Firms
Investment Managers
Investment Product Providers
Trade Associations
Trading Venues