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
The Compliance Partnership Limited
Description

The Compliance Partnership (TCP) offers a bespoke service to financial services firms in the UK.

With over 25 years experience in the Financial Services Industry, we have worked with large insurance companies, medium IFAs and one-man bands. TCP has been dealing solely with compliance matters since 1998.

The aim of The Compliance Partnership is to work with the firm in order to create peace of mind as far as compliance within the firm is concerned.

Our knowledge is constantly growing and being updated through continuous further education and participation in seminars.

See our webpage for further details about our services and client testimonials.

Address
Valley View, 8, Dingles Close, Ponsanooth, Truro, Cornwall, TR3 7RA
Phone Number
07980652145
Services Offered

Authorisation - FCA
Complaints Handling Reviews
Compliance advice
Compliance Support
Compliance Training
Contracting/Interim
Documentation
Due Diligence
Expert Witness - Financial Services
File Review
Governance
Health Checks
Information Security/Data Protection (GDPR)
Money Laundering/Financial Crime Advice and Reviews
Passporting/International Compliance
Pension Reviews
Regulatory Capital/Solvency
Regulatory Relationship Management
Regulatory Returns Assistance
Regulatory Updates

Firms Served

Authorised Professional Persons
Collective Investments Funds
Company Service Providers
Corporate Finance Firms
Discretionary fund managers
Fintech/Regtech
IFA (including IFA divisions of financial institutions)
Institutional investment management
Insurance Brokers - General
Insurance Brokers - Pure Protection Products
Insurers
Lead generation firms
Mortgage Brokers
Mortgage Lenders/Administrators
Pension Advisors
Private Client investment management
Retail investment management
Secondary Intermediaries
SIPP providers
System Providers
Third party product providers
Trust Service Providers
Wrap Platforms

The Compliance Company
Description

The Compliance Company is a UK leader in the compliance services industry. Our team of experts offers a specialist and comprehensive compliance service, assisting our clients across all business sectors.

The Compliance Company can act as a Principal firm and oversees Appointed Representatives within its network. We also offer ongoing support and service to ensure firms remain compliant and can provide many other services including applications, compliance documentation and training.

Address
Windsor House, Cornwall Road, Harrogate, North Yorkshire, HG1 2PW
Phone Number
01423522599
Services Offered

Advice pre regulatory risk assessment or supervision visit
Authorisation - FCA
Client Assets
Complaints Handling Reviews
Compliance advice
Compliance Support
Compliance Training
Documentation
Due Diligence
File Review
Governance
Health Checks
Information Security/Data Protection (GDPR)
Money Laundering/Financial Crime Advice and Reviews
Payments Services Registration and Compliance
Regulatory Capital/Solvency
Regulatory Hosting/Incubation
Regulatory Returns Assistance
Regulatory Updates

Firms Served

Claims Management Companies
Consumer Credit Providers
Corporate Finance Firms
Credit Unions
Electronic Money Issuers
Fintech/Regtech
High Value Dealers
Insurance Brokers - General
Insurance Brokers - Pure Protection Products
Lead generation firms
Mortgage Brokers
Mortgage Lenders/Administrators
Payments Services Institutions
Secondary Intermediaries
Trade associations, professional bodies and regulators

The Cattellyst Consultancy
Description

The Cattellyst Consultancy is a competence and compliance consultancy, established in 1992, which specialises in the people aspects of regulation. We offer a range of competence, compliance and related management consultancy services to our clients, through which we advise, train and develop senior managers and their staff about the human aspects of regulation with a particular focus on managing people risk, the development of competence and expertise, ethical business practices and the enhancement of corporate culture.  We carry out senior level assignments relating to corporate governance, learning, personal development, coaching and leadership.

Examples of projects recently undertaken include:

DEVELOPING AND DELIVERING BRIEFING SESSIONS FOR BOARDS AND INDIVIDUAL DIRECTORS OF INTERNATIONAL GROUPS, LISTED COMPANIES AND MUTUALS ON CORPORATE GOVERNANCE ISSUES AND BOARD PERFORMANCE.
REVIEWING SENIOR MANAGEMENT AND APPROVED PERSONS ARRANGEMENTS IN THE LIGHT OF REGULATORY DEVELOPMENTS, CONDUCTING BOARD CULTURE AUDITS AND PREPARING BOARD MEMBERS FOR REGULATORY VISITS.
BENCHMARKING GOOD PRACTICE AND RUNNING ASSOCIATED WORKSHOPS ON A RANGE OF REGULATORY TOPICS.
CONDUCTING AUDITS AND ENHANCEMENTS OF FIRMS’ TRAINING AND COMPETENCE ARRANGEMENTS (INCLUDING THE VERIFICATION OF COMPLIANCE WITH INTERNATIONAL REGULATORY REQUIREMENTS.
DEVISING AND IMPLEMENTING CULTURE AND PEOPLE RISK METHODOLOGIES TO ENABLE FIRMS TO IDENTIFY RISK EXPOSURES IMPLEMENT CULTURE CHANGE AND VERIFY STAFF ENGAGEMENT.
CREATING AND FACILITATING MANAGEMENT AND SUPERVISORY DEVELOPMENT PROGRAMMES FOR LINE MANAGERS AND INVESTMENT MANAGERS WITH SUPERVISORY RESPONSIBILITIES.
DESIGNING AND FACILITATING DEVELOPMENT PROGRAMMES AND CREATING TRAINER SUPPORT PACKAGES ON A RANGE OF REGULATORY AND TECHNICAL ISSUES INCLUDING COMPLIANCE, COMPETENCE, COMPLAINTS, TREATING CUSTOMERS FAIRLY, LEADERSHIP AND SUPERVISION.
DEVELOPING QUALIFICATIONS STANDARDS AND INDICATIVE SYLLABI.
ADVISING ON OPERATIONAL ARRANGEMENTS FOR ACCREDITED BODIES

Address
7 Cleave Prior, Chipstead, Coulsdon, Surrey CR5 3YF
Phone Number
01737555515
Services Offered

Compliance advice
Compliance Support
Compliance Training

Firms Served

Banks/Deposit Takers
Collective Investments Funds
Company Service Providers
Custodians/Depositaries
Discretionary fund managers
Institutional investment management
Insurance Brokers - Pure Protection Products
Insurers
Lloyds
Pension Scheme Operator/Provider
Private Client investment management
Retail investment management
Securities and Futures firms
SIPP providers
Stockbrokers

Telos Solutions Limited
Description

Telos can mobilise some of the most experienced – and high profile – compliance experts in the financial services industry.

All regulated firms need to consider the difference between being half a step behind – and half a step in front.

Being half a step behind requires the full effort and cost to be compliant – but risks falling foul of the regulators.

Being half a step ahead doesn’t cost much more in the short term but saves a huge amount in the medium term, and creates elbow room to integrate compliance into the business efficiently.

It’s possible to get half a step ahead by taking the regulators speeches, comments and informal briefings into account, by understanding how the regulator is likely to think – and by talking to us. That’s where we operate, and that’s where our successful clients are now.

Regulation services

AUTHORISATIONS
SKILLED PERSONS REPORTS (S166 AND S166A)
RELATIONSHIP WITH FCA
SYSTEMS AND CONTROLS (SYSC)
CONDUCT OF BUSINESS
REGULATED ADVICE
COMPLAINTS AND DISPUTE RESOLUTION
PAST BUSINESS REVIEWS AND REMEDIATION
AUDIT & POST IMPLEMENTATION REVIEW

Industry sectors

CONSUMER CREDIT
MORTGAGES
INTERMEDIARIES
LIFE, HEALTH AND PENSIONS BUSINESSES
WEALTH MANAGEMENT
BUILDING SOCIETIES
FRIENDLY SOCIETIES
BANKING
PEER TO PEER LENDING

Address
78 Cannon Street, London EC4N 6HL
Phone Number
08452263131
Services Offered

Authorisation - FCA
Client Assets
Complaints Handling Reviews
Documentation
Enforcement Action - Financial Services
Expert Witness - Financial Services
File Review
Money Laundering/Financial Crime Advice and Reviews
Payments Services Registration and Compliance
Regulatory Returns Assistance
Regulatory Updates

Firms Served

Consumer Credit Providers
IFA (including IFA divisions of financial institutions)
Insurance Brokers - General
Insurers
Investment Banks
Mortgage Brokers
Mortgage Lenders/Administrators
Retail investment management

TCC
Company Name
Description

We know that culture is the key to commercial success for FCA regulated businesses. Happy, loyal customers lead to less complaints and the need for costly remediation. That’s why our solutions connect the dots between culture and compliance, helping our clients find better ways to tackle conduct risk.

Our specially developed regulatory technology (RegTech) works hand in hand with our human expertise, meaning our services drive higher efficiencies and insight while delivering exceptional value for money.

With roots in financial services and with regulators, we’ve gained numerous accolades for work and have become a dependable name in the field.

We’re listed on the FCA Skilled Persons Panel for Conduct of Business.

Address
10 Lower Thames Street, London, EC3R 6EN
Phone Number
02037727230
Services Offered

Authorisation - FCA
Complaints Handling Reviews
Compliance advice
Compliance Support
Compliance Training
Contracting/Interim
Due Diligence
Enforcement Action - Financial Services
File Review
Governance
Health Checks
Information Security/Data Protection (GDPR)
Money Laundering/Financial Crime Advice and Reviews
Payments Services Registration and Compliance
Pension Reviews
Regulatory Updates
Skilled Person Panel - Conduct of Business

Firms Served

Banks/Deposit Takers
Building Societies
Claims Management Companies
Collective Investments Funds
Consumer Credit Providers
Corporate Finance Firms
Credit Unions
Custodians/Depositaries
Discretionary fund managers
Fintech/Regtech
Friendly Societies
IFA (incl IFA divisions of financial institutions)
Institutional investment management
Insurance Brokers - General
Insurance Brokers - Pure Protection Products
Insurers
Money Service Businesses
Mortgage Brokers
Mortgage Lenders/Administrators
Multi lateral trading facility
Payments Services Institutions
Pension Advisors
Pension Scheme Operator/Provider
Private Client investment management
Retail investment management
Securities and Futures firms
SIPP providers
System suppliers

Description

I am a freelance compliance consultant working with several firms of different sizes. I have previously been an adviser, which gives me a good understanding of the advice process and dealing with customers and I enjoy a close relationship with my adviser clients. I offer a wide range of services including training & competence supervision, file checking, report writing and FCA Connect and liaison with regulators. I also write articles that are published in the trade press.

Address
Telscombe Cliffs, Peacehaven, UK
Phone Number
07899847338
Services Offered

Authorisation - FCA
Complaints Handling Reviews
Compliance advice
Compliance Support
Compliance Training
Due Diligence
Enforcement Action - Financial Services
File Review
Health Checks
Money Laundering/Financial Crime Advice and Reviews
Regulatory Updates

Firms Served

Insurance Brokers - General
Insurance Brokers - Pure Protection Products
Mortgage Brokers
Mortgage Lenders/Administrators
Pension Scheme Operator/Provider
Private Client investment management
Retail investment management

Sturgeon Ventures LLP
Description

Sturgeon Ventures LLP is an investment management and corporate finance firm BiPru Limited License Firm and AIFM, who provide a Regulatory Incubation as the Pioneer we have incubated more than 100 firms as our Appointed Representatives. We work with Investment managers as an incubation host as well as for start up firms who want to advise as advisors/arrangers and for different reasons want to be incubated. We also offer a bank of locums both as investment advisors and investment managers for which we charge a monthly fee, useful for new applications. We can also sign off financial promotions under the Financial Promotions Order as we have Retail Permissions. We can operate Collective Investments Schemes (CIS). We carry out high level monitoring reviews, from compliance and risk based approach, as we understand business as well as compliance. We do conduct authorisations, but mainly for our incubated companies when both decide they are ready to break away. We have been a regulated firm since 1998 and can provide a list of current and past incubated clients and locum clients as well as pure compliance clients. There are also testimonials on our website. We have in the past worked with a number of compliance consultants as a solution particularly for our locums and incubation, and they have done the authorisation and often the on-going compliance monitoring. We also have an introducer arrangement with fees which can be discussed. We are all approved persons within the firm. We are members of the Compliance Forum at the Securities Institute, and have also done work with the Financial Skills Council.

Sturgeon Ventures has internal legal counsel and fund structuring expertise and solutions and can offer individuals already regulated to sit on investment committees and boards across EU Fund jurisdictions. This enables the diversity of the firm as Sturgeon Ventures is Female owned and one of the original signatures to the Women in Finance Charter set up in 2016 by the UK’s Treasury.

Address
Linstead House, 9 Disraeli Road, London, SW15 2DR
Phone Number
02031674625
Services Offered

Authorisation - FCA
Complaints Handling Reviews
Compliance advice
Compliance Support
Compliance Training
Due Diligence
Health Checks
Money Laundering/Financial Crime Advice and Reviews
Regulatory Updates

Firms Served

Banks/Deposit Takers
Building Societies
Collective Investments Funds
Corporate Finance Firms
Discretionary fund managers
Institutional investment management
Securities and Futures firms
Stockbrokers

Description

The Principal Ray Stibbards JP FCII has over 45 years general insurance experience and was Agency Manager of NIG before becoming General Manager of the GISC Compliance Monitoring Unit run by PricewaterhouseCoopers. He has considerable experience in dealing with FCA authorisation applications, development of compliant procedures and documentation, on-going support and advice and compliance healthchecks.

Address
26 Downs Court Road, Purley, Surrey, CR8 1BB
Services Offered

Authorisation - FCA
Client Assets
Complaints Handling Reviews
Compliance advice
Compliance Support
Compliance Training
Due Diligence
File Review
Health Checks
Money Laundering/Financial Crime Advice and Reviews
Regulatory Updates

Firms Served

Authorised Professional Persons
Consumer Credit Providers
Insurance Brokers - General
Insurance Brokers - Pure Protection Products
Insurers
Multi lateral trading facility

Skythorn Risk Management Limited
Description

Skythorn Risk Management is a small, friendly compliance and risk consultancy firm providing support to clients within Scotland and the wider UK. We aim to deliver a flexible and tailored service to meet your requirements, be that for compliance advice, compliance monitoring, regulatory healthchecks, document preparation, file reviews, regulatory horizon scanning, governance arrangements or general risk management to name but a few. We have worked with a broad variety of clients across financial services, and within regulatory and risk disciplines, and thus look forward to bringing this experience toward assisting your business meet its regulatory obligations.

Address
Foss House, 18 Claremont, Alloa, FK10 2DF
Phone Number
01259219418
Services Offered

Advice pre regulatory risk assessment or supervision visit
Authorisation - PRA
Authorisation - FCA
Complaints Handling Reviews
Compliance advice
Compliance Support
Documentation
Due Diligence
File Review
Health Checks
Money Laundering/Financial Crime Advice and Reviews
Regulatory Updates

Firms Served

uthorised Professional Persons
Banks/Deposit Takers
Claims Management Companies
Collective Investments Funds
Consumer Credit Providers
Corporate Finance Firms
Credit Unions
Discretionary fund managers
IFA (including IFA divisions of financial institutions)
Institutional investment management
Insurance Brokers - General
Insurers
Investment Banks
Mortgage Brokers
Mortgage Lenders/Administrators
Private Client investment management
Restricted financial advisers
Retail investment management
Sale and Rent Back
Stockbrokers

SimplyBiz
Company Name
Description

SimplyBiz launched in 2002 with a ground-breaking proposition designed to provide directly authorised advisers with a new level of support and service previously unseen in this sector.

Today, SimplyBiz is market-leading and multi award-winning, providing outsourced regulatory and business support to more directly authorised financial advisers than anyone else. Our breadth of service and expertise is unrivalled and our commitment to excellence second to none.

Regulation is at the heart of our business, from our experienced policy and helpdesk teams, to our wider specialist and dedicated field teams who are on hand to visit our Members’ business to help them meet the regulator’s requirements.

We provide members with an array of support across key areas designed to help them to build a sustainable and successful business – from complimentary and discounted market-leading tech, to the industry’s largest event programme – with over 500 events delivered each year!

We have the experience and knowledge to ensure firms get the very best support in the most important areas for their business.

Address
St. Andrews House, St. Andrews Road, Huddersfield, HD1 6NA
Phone Number
01484439100
Services Offered

Authorisation - FCA
Complaints Handling Reviews
Compliance advice
Compliance Support
Compliance Training
File Review
Health Checks
Management training & support, Staff training
Money Laundering/Financial Crime Advice and Reviews

Firms Served

Authorised Professional Persons
Consumer Credit Providers
Discretionary fund managers
IFA (including IFA divisions of financial institutions)
Insurance Brokers - General
Mortgage Brokers
Mortgage Lenders/Administrators
Retail investment management