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Advisory Services


We are always on hand to provide answers to complex compliance issues, including those associated with firms which are on the perimeter of FCA regulation. We can offer you the advice and support you need to be confident that you are meeting your regulatory requirements.

We provide comprehensive ongoing compliance support designed to assist your firm in implementing and embedding a cohesive compliance program, aligned to your firm’s activities, scope of permissions and the services that are offered to your clients.

Advisory services that we can provide include:

  • Appointed Representative Monitoring
  • Complaints Management
  • Compliance Monitoring
  • Conduct Risk
  • Conflicts of Interest
  • Due Diligence – Mergers and Acquisitions
  • Financial Crime
  • Financial Promotions
  • Preparation for FCA Visits 
  • Product Governance
  • Provision of Documentation and Procedures Manuals
  • RMAR Reporting
  • Training