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