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
Simply Compliance Ltd offers professional, efficient and affordable compliance services and solutions across the financial services industry, including general insurance, mortgages, investments, life & pensions and retail & commercial banking.
Our client base varies from small businesses to large corporate entities. As a result, our services are fully flexible and adaptable depending on your individual needs. Tell us what it is you need to achieve, and we can achieve it. We are effective in working as part of your internal team or project offering technical expertise, direction or guidance where required.
At Signature, our goal is simple – to provide the best regulatory and business support to large IFA, discretionary and wealth management firms. We achieve this through our client centric consultancy approach that starts with getting to know our clients and their business. Through this unique approach we are ideally positioned to design a personalised consultancy solution that assists with the design, documentation and implementation of a complaint and efficient discretionary investment process.
As part of the SimplyBiz Group, a market leader in the provision of FinTech and support services to the retail financial services market, our service is bolstered by the support of a team of industry leading compliance experts – enabling us to provide an unrivalled level of regulatory expertise and support to our clients. Furthermore, our service offers our clients access to some of the most cutting edge FinTech products in the market. These services, combined with our wealth of compliance approved documentation, easy-to-digest regulatory guides and access to industry leading tools and technology, provides the ideal opportunity for firms to deliver consistently better client outcomes.
Secure Compliance is a specialist management consultancy. We work only for regulated financial advisers, independent insurance brokers and independent mortgage intermediaries.
Our mission is to help our clients to be more effective by providing them with the highest quality assistance and advice. We help them to achieve the best standards of industry practice in their increasingly competitive and frequently changing business environment.
We are driven by our simple ambition, to meet the needs of our clients. we do everything we can to ensure that our work is of maximum benefit to them. Our greatest reward is to know that we have found a solution to a client’s problem ad given value for money. As a testimony to that, most our income now comes form existing clients who invite us to do further work.
Compliance is an ever-changing area of work; as new requirements emerge, we aim to offer quality, bespoken solutions to meet the needs of new clients.
Consultancy on all Onboarding and Compliance requirements. Specialized in Foreign Exchange and CFDs.
Sapphire Management Services Ltd provides a full range of ICOBS compliance advice and implementation to the general insurance industry. The principal consultant, Sharon Ketley FCII Chartered Insurer has over 30 years insurance expertise (provincial & London Market) covering underwriting, broking, project management, process improvement, training and change management. Sapphire works with its clients to understand their ethos and current business operations in order to embed ICOBS and market requirements; whilst ensuring optimum process efficiency and thereby saving costs. Sapphire’s services include : Full implementation, “Health Checks” , FCA Visit preparation, File Audits & Staff Training. Sapphire provides a professional, reliable service; integrating fully with client’s existing teams.
SA Compliance Management Ltd specialises in mortgages and consumer credit, with particular reference to risk and systems & controls relating to FCA contact. The firm was appointed to the FCA Skilled Person Panel in 2013; and the MD, Stephen Atkins, was a member of the FCA Smaller Business Practitioner Panel. Stephen has also worked with HM Treasury, the OFT and the FOS.
SACM has both acted as skilled person and also defended firms against enforcement action by regulators.
RPT&C now provides assistance in the following areas:
Expert witness work
Conference speaking
Training
File reviews
All in relation to the financial advice process and its regulation.
We are multi-award winning IFAs and Chartered Financial Planners offering wide-ranging FCA compliance services. These include templated, downloadable documents and procedures to be tailored to your firm. We also offer individual compliance assistance on your premises or remotely to help with specific projects.
Whether you need anti-money laundering documentation, tests for your staff, TCF or Business Risk Awareness reviews, we can help.
We work differently and know what you need. We know cost is the main issue and you just want to demonstrate you comply with the rules. We offer simple, easy to use procedures and templates.
We act for:
Mutual and smaller insurers who wish to do corporate acquisitions or disposal of books of insurance business, transfers of engagements and commercial agreements.
For financial advisers and wealth managers who wish to buy or sell their firms and we will assist with all of the daily agreements around running their business.
Corporate trading companies in acquisitions and disposals.
We guide insurers and private companies through the myriad of requirements around corporate governance whether under PRA, FCA or Companies Act requirements.
We assist clients with processes to implement compliance with PRA and FCA handbook rules and work closely with or delegate to compliance consultants where necessary to achieve cost efficiencies.
Richdale Consultants is a regulatory compliance consultancy helping businesses ensure that they are operating in a compliant manner. We provide an exceptionally bespoke service to our clients tailored towards their needs and circumstances all for a fixed monthly fee. This individualised relationship allows for the building of trust between ourselves and clients, to the extent that we become an integral part of their day-to-day management, rather than just an external consultant.
We have also created a network for the provision of Mortgage Protection and General Insurance whereby we provide the necessary support for both the compliance standards and service provision.