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
Halloway Churchill Limited

We opened in 2015, to provide professional compliance support services to the Financial Services sector. Our directors and consultants have many years experience in their specialist fields and have all held senior positions as CEO, COO, Risk or Compliance Director of regulated firms. We believe that as our consultants have worked on the business side as well as the regulatory side of business we add much more than the traditional compliance consultancy.

We cover Investment Firms, Emi's and brokerages through a hands on and practical approach designed to help you operate safely and efficiently.

We monitor all up and coming support technology to better help our clients stay cost effective, efficient and competitive.

Please visit our website for more detailed information on our services – or please contact us directly.

Address: We are all currently remote but will be back in Threadneedle St, London by August 2021.
Phone Number: 07544137820
Services Offered:

FCA Authorisation, Change of Control
General Compliance support
Compliance Monitoring plan
Complaints responses
Expert Witness
Interim cover
Icaap and Capital Adequacy
Policies and Procedures
Risk Assessment
Regulatory Reporting
Onboarding, KYC, Due Diligence

Company Name: Riliance

Riliance works with a wide range of financial services businesses in helping to ensure that they put consumers first. Treating customers fairly (TCF) is central to the FCA’s expectations of how businesses conduct themselves. Riliance provides one central system to enable businesses regulated by the FCA to maintain effective systems and controls for compliance.

Address: 2 Portal Business Park, Tarporley, Cheshire, CW6 9DL
Phone Number: 08453453300
Services Offered:

Risk Management Systems
FCA Compliance Suite
Training & Competency
Enterprise Risk Management System
Outsourced Compliance
Complete Compliance
Conveyancing Quality Scheme Training
SRA Diversity Survey
ICAEW Diversity Survey
General Data Protection Regulations

Firms Served:

Authorised Professional Persons
Claims Management Companies
Insurance Brokers - General
Insurance Brokers - Pure Protection Products
Mortgage Brokers
Mortgage Lenders/Administrators

Richwell Partners
Company Name: Richwell Partners

Richwell Partners provides expert regulatory support services to smaller fund managers and similar FCA regulated businesses serving the needs of professional investors.

Address: 24 Chiswell Street, London, EC1Y 4YX
Phone Number: 2030585092
Services Offered:

FCA Regulatory Compliance Support
Regulatory Questions
Compliance Programme and Infrastructure
Monitoring of Processes
Training Requirements
Regulatory Returns, Financial and Non-Financial
New Regulation

Firms Served:

Hedge Fund Managers
Investment Advisory Firms
Corporate Finance Firms
Wealth Managers
Private Equity Fund Managers
Real Estate Fund Managers
Investment Research Firms
Fund Marketing Firms

The Private Equity Consultancy

The Private Equity Consultancy was formed in 2008 to act as an independent and flexible resource to enable PE fund managers to better handle their internal Compliance, legal and investor relations needs and to provide support to investors considering entering the private equity market for the first time.

Address: Glengariff House, 7 Honor Oak Rd, London SE23 3SQ
Phone Number: 07771292930
Services Offered:

Application for authorisation - FCA Compliance
Ongoing Compliance support for Boards and Compliance Officers
Rule Book analysis
Drafting Compliance Manuals
Compliance Audits and Reports
Mock FCA Visits
‘Keeping up to date’ briefings

Firms Served:

AAC Capital
Atelier Capital
Caledonia Capital Managers
Connect Ventures
Agathos Management
Episode Ventures
FB Capital Partners
Forward Partners
Foundation Investment Partners
FW Capital
Passion Capital
Pi Capital
Petroleum Equity
Provenance Investment Management
Westbridge Capital

Company Name: Bovill

Bovill is an independent, specialist financial services regulatory consultancy with a global offering. We are committed to providing practical solutions.

We use our deep understanding of our clients to help them thrive in today’s complex regulatory environment. Our CEO, Ben Blackett-Ord, owner and founder, remains hands-on in the business and close to clients, and divides his time between our regional offices.

Address: 82 Blackfriars Road, London, SE1 8HA
Phone Number: 76208440
Services Offered:

Advice and support
AIFMD reporting – Annex IV
Authorisation and applications
Client Assets and Money (CASS)
Compliance monitoring Covid-19
Conduct risk assessment Cryptocurrencies and blockchain Financial promotions GDPR
Market abuse surveillance
Mergers and Acquisitions
Operational risk management
Preventing financial crime
Prudential services
Reviews and projects
Skilled Person reviews (s166)
SM&CR Suitability

Firms Served:

Consumer Credit Firms
Corporate Finance Firms
P2p Lenders Estate Agents
Fund Managers
Gaming Operators
Insurance Intermediaries and Brokers
Investment Managers
Mortgage and Home Finance Providers
Payment Services and E-money
Retail Banking
Trading and Broking
Venture Finance
Wealth Managers and Private Banks

Peak Consultants
Company Name: Peak Consultants

Peak Consultants was formed in 2000 and over the years we have worked with many Businesses, including Stock Brokers, Banks, and other financial institutions. The vast majority of our clients are regulated by the UK Financial Conduct Authority and as a result most of our work has been in the UK but not exclusively.

We have also worked extensively with the Motor Trade since 2014 and have been able to provide support, advice and guidance to many Dealer Groups across the country. We are known for our pragmatic and diligent approach, but most of all the clarity of our communication. We will always provide you with the answers you need!

Our expert team conduct technical reviews, provide specialist resources and have developed bespoke solutions to provide a safe pair of hands.

Address: Paulton House. Old Mills, Paulton, Bristol BS39 7SX
Phone Number: 01761 252581
Services Offered:

Compliance Consultancy
Finance and Insurance Compliance
GDPR (Data Protection)
Risk Management
SM and CR
Learning & Development Centre

Firms Served:

Corporate governance and compliance
Financial institutions
Financial services and regulation
Regulation and investigations
Risk advisory

Scott Robert
Company Name: Scott Robert

Scott Robert became part of the Northern Provident Group in 2020. Becoming part of the expansion plans of the Northern Provident Group has ensured that we are able to continue to build on strong foundations within the consumer credit and claims arena and continue to build out our support offering across a wide variety of regulatory sectors including investments and peer to peer lending. It also provides Scott Robert with access to bespoke fintech systems built by the Northern Provident Group.

Our strength is in our approach. We don’t believe that generic actions meet the demands each business faces. Instead, we take the time to get to know you, your business, objectives and commercial necessities and devise a bespoke, strategic plan of action.

Whether you require guidance on any matters related to FCA regulation or need to accurately assess the risk associated with a new business venture, we have the knowledge and expertise to deliver astute, practical and efficient solutions.

We are often involved in our clients business right from the very beginning by supporting their initial application to the FCA. We’ve successfully supported thousands of firms since our inception in 2008 to successfully navigate complex regulatory applications and we’ve been lucky enough to continue to partner with many of those firms throughout both difficult commercial periods and huge regulatory change and uncertainty.

Address: Peter House, Oxford Street, Manchester, M1 5AZ
Phone Number: 01619145727
Services Offered:

FCA Regulation
FCA Appointed Representative
FCA Approved Persons and Controlled Functions
FCA Authorisation
FCA Complaint Handling
FCA Compliance Consultant
FCA Compliance Documentation & Manuals
FCA Compliance Investigation
FCA Consumer Credit Authorisation
FCA Crowdfunding & P2P
FCA Regulatory Reporting
Senior Managers and Certification Regime
Motor Trade Consumer Credit Authorisation

Firms Served:

Broker insurance
Asset Management services
Consumer Credit
Investment Banks

MLX Training and Compliance Limited

MLX Training & Compliance Ltd (MLX) provides bespoke compliance solutions (on a retainer or ad-hoc basis) – to small IFA & mortgage broker firms in the North of England.

With 19 years’ experience in the Financial Services industry, Helen has worked primarily with small and medium IFAs and mortgage brokers (including 11 years with large national compliance support companies).

MLX offers a pragmatic and practical approach to formulating, implementing and monitoring proportionate systems, controls and procedures which meet each firm’s individual requirements.

Address: Westcombe Avenue, Roundhay, Leeds LS8 2BS
Phone Number: 07581246844
Services Offered:

Authorisation - FCA
Complaints Handling Reviews
Compliance advice
Compliance Support
Compliance Training
File Review
Health Checks
Money Laundering/Financial Crime Advice and Reviews

Firms Served:

Authorised Professional Persons
Insurance Brokers - Pure Protection Products
Mortgage Brokers
Mortgage Lenders/Administrators
Pension Scheme Operator/Provider

Worksmart Ltd
Company Name: Worksmart Ltd

Worksmart have been supporting the Financial Services industry since the 1990’s. We provide a range of award winning, high quality RegTech solutions that are underpinned by a deep understanding of the market place and our regulatory knowledge. From Training & Competence (TC) to Quality Assurance (QA), Senior Managers & Certification Regime (SMCR) to Complaints Management, let us help you strengthen your approach to Governance, Risk & Compliance.

Address: Beech House, Breckland, Linford Wood, Milton Keynes, MK14 6ES.
Phone Number: 01908613613
Services Offered:

Complaints Handling Reviews
Compliance Support
Compliance Training
Regulatory Relationship Management
Regulatory Updates

Firms Served:

Banks/Deposit Takers
Building Societies
Consumer Credit Providers
Credit Unions
Discretionary fund managers
Friendly Societies
IFA (including IFA divisions of financial institutions)
Institutional investment management
Insurance Brokers - General
Investment Banks
Mortgage Brokers
Pension Advisors
Private Client investment management
Restricted financial advisers
Retail investment management
Trade associations, professional bodies and regulators

Womble Bond Dickinson (UK) LLP

Womble Bond Dickinson is a transatlantic law firm, providing high-quality legal capability and outstanding personal service to a wide range of regional, national and international clients from 27 key locations across the United Kingdom and the United States. Our strong regional heritage and culture help us stay closer to our clients and the issues they care about, and with teams located across the UK and the US we bring international perspectives and extended jurisdictional reach to a wide range of client needs.

The Financial Services Regulatory team is based in London and Edinburgh and forms part of our highly ranked Banking and Finance practice. Our experienced team can guide you through the regulatory web and can assist, from high-level horizon scanning, through detailed advice on specific issues, to helping to implement change and training your staff. We act for banks, insurers, consumer credit and mortgage lenders, wealth managers, financial advisers, fund managers, primary and secondary intermediaries, payment service providers, e-money issuers, crowdfunding platforms as well as unauthorised firms seeking to remain outside the regulatory perimeter or firms needing financial crime prevention advice.

Address: 4 More London Riverside, London, SE1 2AU
Phone Number: 03454150000
Services Offered:

Authorisation - FCA
Client Assets
Compliance advice
Compliance Support
Compliance Training
Due Diligence
Enforcement Action - Financial Services
Money Laundering/Financial Crime Advice and Reviews
Payments Services Registration and Compliance
Regulatory Updates

Firms Served:

Authorised Professional Persons
Banks/Deposit Takers
Collective Investments Funds
Consumer Credit Providers
Corporate Finance Firms
Credit Unions
Discretionary fund managers
Electronic Money Issuers
High Value Dealers
Institutional investment management
Insurance Brokers - General
Insurance Brokers - Pure Protection Products
Money Service Businesses
Mortgage Brokers
Mortgage Lenders/Administrators
Multi lateral trading facility
Payments Services Institutions
Private Client investment management
Retail investment management
Securities and Futures firms
SIPP providers
System suppliers
Third party product providers