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
Specialist advisor on compliance with regulatory reporting regimes (MiFID 2, EMIR) and Crypto Regulation.
Reality Compliance is a compliance and business consultancy with expertise in retail financial services. The business was founded in 2011 by Chris Yates, who has 22 years compliance experience in regulatory roles and has dealt with the regulator on numerous occasions. We specialise in pension transfer business and take on referrals in this area from other compliance service providers.
We provide bespoke compliance services to match your individual needs. The key services we provide are:
Compliance visits (including annual audits)
Remote files reviews (including specialist areas such as pension transfers, long term care and equity release)
T&C guidance
GABRIEL completion assistance
Documentation assistance
Regulatory updates
Assist with any engagement with the FCA
There are no monthly fees/retainers, all services are payable on a pay as you go basis.
We also offer an external paraplanning service, Reality Paraplanning (www.realityparaplanning.co.uk). A full range of research, report-writing and due diligence services are available. Please contact hello@realityparaplanning.co.uk for more details.
We operate across the insurance and consumer credit market, including MGAs, Brokers and Appointed Representatives. Clients range from niche start-ups, through insure techs to national distributors.
PSP Lab is a FinTech consulting firm which advises its clients on regulatory authorisations, regulatory compliance, setting up risk control frameworks, selecting best compliance solution providers, conducting assessment of compliance with laws and regulations.
We are consumer credit compliance experts. Our core business supports firms engaged in the motor sector including motor dealers, finance and leasing brokers and firms who operate employee car schemes. We also engage with firms who operate in other consumer credit segments particularly where this activity supports the sale of other products.
We have secure online systems which enable us to oversee businesses remotely and ensure they act compliantly as well as conducting onsite audits.
Our client base includes owner operator businesses through to FTSE 100 companies showing our ability to bespoke our services to the needs of our clients.
Bespoke compliance for complex firms. Worked as direct sales, IFA and for two of the big 4 accountants. Supplied compliance services to 180 directly regulated firms. Specialty – anything technical and unusual. Fellow of Personal Finance Society FPFS Associate of Pension Management Institute APMI Associate of the Chartered Insurance Institute ACII Mortgage, long term care, and Equity Release qualifications. Expertise in all areas of compliance for the above qualifications.
We offer a tailored bespoke service to Financial Planning Firms with the aim of helping you design, develop implement and maintain robust, efficient and compliant systems and processes to ensure you can concentrate on time spent with your client. We can also help with your Firms Training and Development needs. We provide an Operational Compliance solution designed with you and based on your specific needs and your plans for the future of your business.
PCS are a bespoke consultancy firm with clients all over the UK. We specialise in providing bespoke service to IFA’s, mortgage brokers and insurance brokers. The team offers a practical and affordable service, which can suit most budgets and requirements. We can work with clients on anything from specialist projects such as helping to trouble shoot their T&C scheme, to one to one training sessions on risk assessment within a business. Supervisor courses are also available, and auditing is one of our key areas.
Paul Andrews (Proprietor) holding “CII Diploma in Financial Planning” to include J07 Supervision in a Regulated Environment / CeMAP / ER1 Equity Release / CF8 Long Term Care / R01 & R02 (Full FPC 1,2 &3) – Sole Trader specialising in all aspects of training and competence including supervision, KPI, firm MI, recruitment procedures in addition to advising on corporate governance and business formation. Over 35 years experience within the financial services profession mainly within the independent sector at Director (CF10) level.
We are a newly established compliance consultancy with nearly 70 years in combined financial services experience servicing clients. Our Consultants have worked diligently throughout their careers with both FCA and PRA regulated firms supporting them in all compliance needs covering both conduct and prudential regulatory considerations. Our core mission and objective is to establish valued relationships with clients and provide practical compliance solutions to our clients’ compliance needs.
Our experience has enabled us to understand the regulator’s requirements and perspective whilst at the same time provide practical and cost-effective solutions to clients. We strive to be the bridge between the Regulator and our clients!
We are not your typical compliance consultant. Our consultants have worked in multi disciplines prior to committing their careers to compliance. This includes financial modelling and equity valuation, fund management, risk advisory, internal audit, and marketing and client relation management. What this all means is that we are able to better understand your business needs and risks whilst at the same time provide solutions that meet regulatory expectations.
Our focus is on providing a full suite of authorisation and post authorisation compliance, regulatory, and risk support to investment firms. We have immense experience working with all types of investment firms- buy side, sell side, advisors, corporate finance firms, and market operators. Our consultants are familiar with all financial asset classes and have a deep understanding of the prudential rules around them.
We look forward to working successfully with clients and strategic business partners.