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

Directory of Financial Compliance and Regulatory Consultants – FCA and PRA – Financial Conduct Authority and Prudential Regulation Authority2020-10-12T22:06:28+00:00
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
3 Lines of Defence Consulting Limited
Description:

Specialists in all things digital including GDPR Training and Compliance services by accredited DPO.

Address: 67 Grosvenor Street, Mayfair, London, W1K 3JN
Phone Number: 02071291270
Services Offered:

Authorisation - FCA
Client Assets
Complaints Handling Reviews
Compliance Advice
Compliance Support
Compliance Training
Enforcement Action - AML and Payment Services
Enforcement Action - Financial Services
Expert Witness - AML and Payment Services
Expert Witness - Financial Services
File Review

Firms Served:

Authorised Professional Persons
Collective Investments Funds
Company Service Providers
Corporate Finance Firms
Custodians / Depositaries
Discretionary fund managers
Energy Market Participants
Institutional investment management
Investment Banks
Multi lateral trading facility
Private Client investment management
Retail investment management
Secondary Intermediaries
Securities and Futures firms
Stockbrokers
Third party product providers

Accord Compliance Consultants Limited
Description:

Formed in 2000, to provide professional compliance support services to the Financial Services sector, the directors and consultants have many years experience in their specialist fields – which include; pension transfers and drawdown, investments, mortgages and general insurance. We believe that there is a demand for a personal, relationship based, approach to compliance from Regulated firms – as opposed to the usual ‘one size fits all’ style. We believe that we can satisfy that demand by means of our own very practical and user friendly systems for meeting the varied needs of the IFA and Insurance/Mortgage Broker. Our policy of offering a bespoke service and our ‘hands on’ and practical approach to compliance matters means we are well placed to help you implement compliance systems and controls appropriate to your own individual operation. Please vist our website for more detailed information on our services – or please contact us directly if you have an enquiry.

Address: Pera Business Park, Nottingham Road, Melton Mowbray, Leicestershire, LE13 0PB
Phone Number: 01664503780
Services Offered:

Authorisation - FCA
Complaints Handling Reviews
Compliance Advice
Compliance Support
Compliance Training
Documentation
Due Diligence
Enforcement Action - Financial Services
File Review
Governance
Health Checks
Information Security / Data Protection (GDPR)
Money Laundering / Financial Crime Advice and Reviews
Pension Reviews
Regulatory Capital / Solvency
Regulatory Returns Assistance
Regulatory Updates

Firms Served:

IFA (including IFA divisions of financial institutions)
Insurance Brokers - General
Insurance Brokers - Pure Protection Products
Mortgage Brokers
Pension Advisors

Active Compliance Services Limited
Description:

Active Compliance Services Ltd are able to offer a range of compliance services to Independent Financial Advisers, General Insurance Brokers and Mortgage Brokers. The firm offers a bespoke service that is tailored to meet the needs of a particular firm. This is agreed upon discussion with the firm and generally upon undertaking an initial assessment of the business. Sharon Wilson, the Principal of Active Compliance Services Ltd, has worked in the financial services area of compliance since 1992. The firm currently advises sole traders, partnerships and small and large limited companies. The service can be adapted from a one off compliance review in a particular area to on-going compliance support to assist the firm to adapt to the changes that inevitable affect our industry. Please call to discuss your requirements further.

Address: 5 Highley Hall Croft, Clifton, Brighouse, HD6 4LL
Phone Number: 07764195923
Services Offered:

Authorisation - FCA
Complaints Handling Reviews
File Review
Health Checks
Money Laundering / Financial Crime Advice and Reviews
Regulatory Updates

Firms Served:

Consumer Credit Providers
IFA (including IFA divisions of financial institutions)
Insurance Brokers - General
Insurance Brokers - Pure Protection Products
Mortgage Brokers
Mortgage Lenders / Administrators

Acumen Accountants & Global Compliance Ltd
Description:

We are specialized in FCA & other EU Regulator’s authorisation application and full compliance support. We have experience for more than 10 years in this field.

Address: 37th Floor, 1 Canada Square, Canary Wharf, London, E14 5AB
Phone Number: 02070962100
Services Offered:

Authorisation - FCA
Complaints Handling Reviews
Compliance Advice
Compliance Support
Compliance Training
Documentation
Due Diligence
Enforcement Action - Financial Services
File Review
Health Checks
Money Laundering / Financial Crime Advice and Reviews
Payments Services Registration and Compliance
Pension Reviews
Regulatory Returns Assistance
Regulatory Updates

Firms Served:

Consumer Credit Providers
Electronic Money Issuers
High Value Dealers
Insurance Brokers - General
Money Service Businesses
Mortgage Brokers
Mortgage Lenders / Administrators
Payments Services Institutions

Addleshaw Goddard LLP
Company Name: Addleshaw Goddard LLP
Description:

Addleshaw Goddard has one of the largest Financial Regulation teams in the UK. We are organised into internal practice groups and Addleshaw Goddard’s key point of difference is the integration of experienced financial regulation lawyers with senior Compliance Professionals specialising in operational governance, risk and compliance; combining sound technical and industry legal and consultancy experience.

Our Regulatory Risk and Compliance Practice Group remains focused upon supporting firms with the FCA conduct challenge and have on experience of implementing complex regulatory frameworks and requirements into business processes and have frequent interaction with regulators.

Address: Milton Gate, 60 Chiswell Street, London, EC1Y 4AG
Phone Number: 02076068855
Services Offered:

Advice pre regulatory risk assessment or supervision visit
Authorisation - PRA
Authorisation - FCA
Complaints Handling Reviews
Compliance advice
Compliance Support
Compliance Training
Documentation
Enforcement Action - AML and Payment Services
Enforcement Action - Financial Services
Expert Witness - Financial Services
File Review
Health Checks
Mis-selling Reviews
Money Laundering/Financial Crime Advice and Reviews
Payments Services Registration and Compliance
Pension Reviews
Regulatory Returns Assistance
Regulatory Updates

Firms Served:

Banks/Deposit Takers
Building Societies
Collective Investments Funds
Consumer Credit Providers
Credit Unions
Custodians/Depositaries
Discretionary fund managers
Electronic Money Issuers
Energy Market Participants
Friendly Societies
High Value Dealers
IFA (including IFA divisions of financial institutions)
Institutional investment management
Insurance Brokers - General
Insurance Brokers - Pure Protection Products
Insurers
Investment Banks
Lloyds
Money Service Businesses
Mortgage Brokers
Mortgage Lenders/Administrators
Multi lateral trading facility
Payments Services Institutions
Pension Scheme Operator/Provider
Private Client investment management
Restricted financial advisers
Retail investment management
Sale and Rent Back
Secondary Intermediaries
Securities and Futures firms
SIPP providers
Stockbrokers
System suppliers
Third party product providers
Trust Service Providers

Adempi Associates LLP
Company Name: Adempi Associates LLP
Description:

We are a London-based compliance consultancy offering hands-on support and specialist advice to financial services firms on the regulatory issues affecting them.

We’re small but we pack a punch. Adempi is made up exclusively with senior consultants who have a fantastic track records with clients. We’re people-people and love new ideas: we’re at our happiest when we are creating solutions that really make sense for the businesses we work with.

About half of what we do is long-term retainer relationships where we are the go-to adviser for our clients and work in partnership with them across the full range of compliance issues they face. With our remaining time we offer a range of one-off projects like compliance training, mock FCA visits, FCA authorisations and applications.

We cover all areas of FCA and European regulation that have an impact in the UK, and we provide support to our clients across the full range of compliance topics.

Adempi was founded by Gillian Roche-Saunders and Dena Chadderton.

Address: 71 - 75 Shelton Street, London, WC2H 9JQ
Phone Number: 02039254761
Services Offered:

Authorisation - FCA
Client Assets
Complaints Handling Reviews
Compliance advice
Compliance Support
Compliance Training
Documentation
Due Diligence
Enforcement Action - Financial Services
Expert Witness - Financial Services
File Review
Health Checks
Money Laundering/Financial Crime Advice and Reviews
Payments Services Registration and Compliance
Regulatory Returns Assistance
Regulatory Updates

Firms Served:

Collective Investments Funds
Consumer Credit Providers
Corporate Finance Firms
Custodians/Depositaries
Discretionary fund managers
Electronic Money Issuers
Institutional investment management
Insurers
Multi lateral trading facility
Payments Services Institutions
Retail investment management
Trade associations, professional bodies and regulators

AJS Consultancy Services Limited
Description:

A compliance professional since 1992. Fellow of the Chartered Insurance Institute and Associate of the Personal Finance Society. Setting up wrap platforms including Part 4a applications, interim head of compliance and CASS SME.

Address: 8 Wellington Walk, Westbury on Trym, Bristol, BS10 5ET
Phone Number: 07778136089
Services Offered:

Authorisation - FCA
Client Assets
Compliance Training
Due Diligence
Enforcement Action - Financial Services
Money Laundering/Financial Crime Advice and Reviews
Regulatory Updates
Skilled Person Panel - Conduct of Business

Firms Served:

Authorised Professional Persons
Banks/Deposit Takers
Collective Investments Funds
Discretionary fund managers
Insurance Brokers - General
Insurance Brokers - Pure Protection Products
Insurers
Private Client investment management
Retail investment management
SIPP providers
Stockbrokers

Alan Macarthur
Company Name: Alan Macarthur
Description:

Consultant for FCA authorised firms within the IFA, GI, Mortgage, Corporate Finance sectors and Member Directed Pension Scheme providers.

Address: 21 High Street, Overton, Basingstoke, RG25 3HB
Phone Number: 02038871628
Services Offered:

Authorisation - FCA
Complaints Handling Reviews
Information Security/Data Protection (GDPR)
Passporting/International Compliance
Regulatory Capital/Solvency
Regulatory Updates

Firms Served:

IFA (including IFA divisions of financial institutions)
Insurance Brokers - General
Pension Scheme Operator/Provider
SIPP providers

Alison Smith
Company Name: Alison Smith
Description:

APFS Chartered Financial Planner qualified freelance compliance consultant, providing compliance assistance to small IFA & mortgage broker firms in the Midlands and North West on a retainer or ad hoc basis.

Address: Roseway, Manor Lane, Upper Leigh, Stoke-on-Trent, ST10 4SN
Phone Number: 07709362482
Services Offered:

Authorisation - FCA
Compliance advice
Compliance Support
File Review
Health Checks

Firms Served:

Authorised Professional Persons
Friendly Societies
IFA (including IFA divisions of financial institutions)
Insurance Brokers - Pure Protection Products
Mortgage Brokers
Restricted financial advisers

Alpha Capital Compliance Limited
Description:

ACCL aims to develop a consultancy service that demystifies the jargon intensive world of Compliance and AML by providing forthright, intuitive and timely advice on all issues.

Operating on a ‘retainer’ and ‘open-access’ basis, ACCL will not charge its clients ‘telephone time’ or minimum consultant charges. Fees will be agreed prior to the commencement of any projects and will be transparent with no hidden costs. Arrangements will be conducted under a NDA for the client’s protection.

ACCL will be constantly available on several media including phone, email and Skype, with office visits prearranged with the client.

Address: Meadow Lodge Annexe, Montefiore Avenue, Rayleigh SS6 9PP
Phone Number: 01268661696
Services Offered:

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

Firms Served:

Authorised Professional Persons
Banks/Deposit Takers
Claims Management Companies
Collective Investments Funds
Custodians/Depositaries
Discretionary fund managers
Electronic Money Issuers
High Value Dealers
Lloyds
Money Service Businesses
Multi lateral trading facility
Payments Services Institutions
Pension Scheme Operator/Provider
Private Client investment management
Retail investment management
Securities and Futures firms
SIPP providers
Stockbrokers
System suppliers
Third party product providers

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