Failure to ensure that effective Systems and Controls are in place has been the root cause of many regulatory enforcement actions.

Better management of your business will help you towards achieving better trading results.

Our Commitment to you

We provide high quality guidance that allows you to build effective and robust compliance, management and Systems and Controls that fit your particular needs, thus helping you to manage your firm to reduce errors and increase the quantity and quality of business written.

We help you to develop a management strategy, whether it is implementation of a new system, or integration into the existing system.

Our Compliance Services

We provide the following services:

•  FSA Authorisation Application project management and ongoing support
•  RMAR Reporting and ongoing audit support
•  Health Checks, Written Report, Action Plan
• Compliance Action Plan Implementation and Monitoring
• Client Money procedures Review, Implementation and Monitoring
• Monitoring Branches, Appointed Representatives and Introducers
• Monthly Regulatory Updates
• Technical Support
• Compliance Support including On-site visits
• In-house Compliance Support      
• Mystery Shopper service      
• Mentoring - support for Senior Management, supervisors and key employees
• In-house Compliance support
• Interim management to cover unexpected vacancies
• Project manage change      
• Manuals specifically designed for you

Manuals Specifically Designed For You

We provide high quality firm specific Manuals, which include:

• Compliance Plan     
• Compliance Manual and Procedures      
• ICOB Manual      
• Compliance Monitoring Manual      
• Complaints Procedures      
• Money Laundering Procedures      
• Whistle Blowing Procedures