Directory of Financial Compliance and Regulatory Consultants – FCA and PRA – Financial Conduct Authority and Prudential Regulation Authority

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.

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

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.

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.

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.