Specialists in all things digital including GDPR Training and Compliance services by accredited DPO.
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.
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.
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.
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.
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.
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.
Consultant for FCA authorised firms within the IFA, GI, Mortgage, Corporate Finance sectors and Member Directed Pension Scheme providers.
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.
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.