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
Gem Compliance provides a wide range of practical regulatory solutions which are tailored to meet our financial services clients compliance needs. This includes support on FCA authorisation, variation of permission or change of control applications. It also includes carrying out independent compliance monitoring visits and/or health checks and technical support including assistance with implementation of new regulatory developments and compliance training.
Complying with financial services regulation can be a burden for the smaller, owner-managed firm. The penalties for getting it wrong can be harsh.
Fulcrum Compliance provide outsourced compliance services to the FCA regulated community. We specialise in owner-managed firms, where senior management has wider responsibilities, as well as compliance. Our service helps senior management deal with the day-to-day pressure of compliance and balances the needs of the firm and the needs of the regulator.
FSTP offers award winning regulatory training and consultancy services to help financial service firms improve their compliance and governance standards. We make sure your policies, processes and people are optimised for success and able to withstand scrutiny from the regulator.
Set up in 2011, fscom is an award-winning boutique consultancy that provides advice, assurance and RegTech compliance solutions to payment services providers. Our people combine expert knowledge of the regulatory obligations with a deep understanding of the commercial and supervisory environment within which our clients operate. This, alongside our partnership approach, means we give straightforward explanations and practical solutions that help our clients grow their businesses in a compliant way. Operating from our UK service delivery centre in Belfast, we are able to offer onsite specialist expertise without London based fees.
Offering remote compliance services to Financial Advice and Mortgage Firms. Ranging from file checking, to assistance with T & C and compliance documentation.
An independent compliance and operational risk consultancy. Providing advice on: corporate authorisations – acquisitions and other changes in control, – variations of permission – passporting, fund structuring and domicile – fund establishment and documentation – compliance monitoring programmed advice and audit – training and competence – training requirement surveys – training programme development and delivery – ongoing compliance advice – risk management systems advice, risk reviews – ICAAP review and development – SYSC documentation oversight process. governance reviews – pre-FCA visit reviews and SIF training. Support with Gabriel and ONA as appointed users.
We are a chartered accountancy practice specialising in investment businesses regulated by The Financial Conduct Authority. The practice prides itself on offering clear guidance on regulatory issues effecting entities with a view to maintaining best practice. The firm’s services cover the following areas: Assisting firms and individuals prepare FCA application packs, including drafting business plans, solvency and capital adequacy declarations, financial forecasts, compliance issues. Reviewing firms’ systems and controls, and reporting our findings to senior management. Assisting in completing variation in permission applications. Reporting to the FCA on firm’s annual Financial Statements and Annual FCA Return
Specialist FCA compliance consultants for technology-based, innovative and alternative finance firms.
Why I am the right person for your business
I am passionate about the benefit that financial services bring to customers. If your ethos is right, your financial advice and investment management can only be in their best interests. I give firms the best possible professional help and service so that they can concentrate on what they do best; giving financial advice and managing the money of their customers.
Summary
I have the knowledge and experience that investment professionals need. I have extensive experience of FCA work including reviews. I am an experienced complaints handler both for FOS and the Pensions Ombudsman. I am a qualified Pensions Transfer Specialist (PTS).
As well as holding FCA Governing Functions, I have for many years been, and remain, a CF 10 and CF 11 for firms including a discretionary fund manager, SIPP Operator and a financial adviser firm. I hold a Statement of Professional Standing (SPS) including Securities and Derivatives. I worked as a Project Manager with an earlier regulator.
I continue to develop myself by regularly attending training courses. I provide training to several adviser firms. I have appeared on BBC Radio 4’s Money Box as their “Compliance Expert” and was technical consultant to the Panorama investigation into Pension scams broadcast in July 2016. I have previously been the author of the CISI’s education manual for their Level 6 qualification Private Client Investment Advice and Management (PCIAM) as well as technical reviewer for Pension Transfers and Pension Administration.
I am a Pensions Ombudsman dispute resolution volunteer adviser.
General Financial Qualifications
CISI PCIAM Private Client Investment Advice and Management (Level 6), AF1 Personal Tax & Trust Planning, AF5 Financial Planning Process, J01 Personal Tax, J08 Financial Planning Practice, CF5 Integrated Financial Planning, CF8 Long Term Care, R05 Financial Protection, FPC Financial Planning Certificate.
Regulation and Ethics
CISI Diploma in Investment Compliance (Level 6), AF6 Senior Management and Supervision, CISI Integrity matters (Grade A), R01 Financial Services, regulation and ethics, CISI Client Money and Assets, FA5 ISA Administration, H15 Supervision and Sales Management examination, CF1 UK Financial Services, Regulation and Ethics.
Pension Qualifications
CISI Certificate in Pension Transfers & Planning Advice (Level 6), AF3 Pension Planning, R08 Pensions Update, G60 Pensions, J04 Pension Funding Options, J05 Pension Income Options, CF9 Pensions Simplification.
Investment Qualifications
AF4, Investment Planning, J10 Discretionary Investment Management, CISI Investment Advice Diploma (Securities), J06 Investment Principles, Markets and Environment, SV1 Savings and Investments.
Mortgage & Equity Release
Certificate in Mortgage Advice, Certificate in Equity Release, CF7 Lifetime Mortgage Activities, HR1 Home Reversion Plans, CeMap
Financial Compliance Limited are a commercial and pragmatic compliance consultancy. With collective relevant Financial Services experience of approaching 100 years, we have the depth and breadth of professional experience to assist you in your regulatory authorisation and compliance needs.
Experience of managing businesses in the commercial world means we understand the pressures and priorities faced by your business and the need for focused, timely, cost-effective and appropriate support.
Recent experience working within the FSA Authorisations and Supervision departments managing complex applications and firms allows us to provide our clients with regulatory applications that fully meet and anticipate the needs of the regulator at the outset.
We are well positioned to assist our clients in the obtaining of what is known as Part IV Permission from the regulators for the undertaking of regulated activities. We are able to offer a complete application service where we assemble the entire application package including a full suite of policies and procedures documentation and manage the authorisation process from start to finish.
Our authorisations experience covers the entire range of regulated entities, from Investment Advisers to Insurance Companies, CIS Schemes through to major Fund Managers, Short Term Mortgage Providers, Consumer Credit firms through to Retail deposit-taking Banks – the full range of straightforward to complex applications.