• A guide to our services

    Getting started

    While our services come in all shapes an sizes - from discrete one-off projects to long-term partnerships - we often find our client's needs vary according to whether they're firmly established or just starting out.

     

    So below, you'll find our offerings grouped into those more usually suited to authorised firms, and those most in demand by start-ups.

     

    Ultimately though, we work around you - so just let us know what you need and we'll roll up our sleeves!

  • Services For Authorised Firms

    For established firms we provide a range of services that can be delivered as one-off projects or as part of an ongoing partnership.

    Regulatory advice, compliance support, compliance consultants

    Ongoing regulatory advice & support

    Flexible + Responsive + Proactive

    Ongoing partnerships with our clients enable us to provide our most valuable support.  

     

    Our team will really get to know your business so that when you receive advice or suggestions from us, they make sense and make a difference.  Anyone can recite a paragraph from the FCA Handbook, our aim is to give you insight and support that goes far beyond that.

     

    We design the level of support around your needs so that it corresponds entirely to the size of your business and your activities.  

     

    All clients using our ongoing partnership service have advice and support covering on areas of compliance and regulation affecting their business and direct access to the team.  Whether you need practical support with FCA returns or strategy around new regulations such as MIFID II, we have it covered.   Get in touch to find out more.

    Regulatory strategy, new products, new business structure

    Regulatory Strategy

    New products + Business structures

    When dealing with changes to your business, advice on your regulatory strategy can be invaluable.  

     

    From the structure for new products, to the acquisition of other companies, right through to responding to FCA communications, we’re on hand to help you find the best approach. 

     

    Gillian’s clients have been so impressed with the value and insight of advice that she received an award for Best Consultant for Regulatory Strategy at the Platinum Compliance Register Awards in 2015.  Get in touch to find out more.

    Website reviews, financial promotion reviews, fin proms, information memorandum

    Websites & financial promotions

    Hardcopy + Online + Innovative marketing

    Your websites, brochures and information memorandums are the gateway to your services but the FCA rules about how to design these can be hard to fathom.  

     

    Our team has years of experience in reviewing financial promotions with clients and the FCA and has covered everything from newspaper and tube adverts, to social media feeds and live events.  

     

    We can promptly provide insightful reviews of your financial promotions.  Get in touch to find out more.

    FCA training, Compliance training, P2P training, MLRO training, CF10 training, CF11 training, financial crime training

    Training 

    Hot topics + Deep insights + Core requirements

    Regulation is a vast topic but our experienced trainers know how to point out the wood for the trees.

     

    We can provide training designed especially for your firm so that you can focus on the areas that will affect you in practice.

     

    For established firms we cover emerging hot topics such as FinTech regulation, social media, MiFID II, PRIIPS. We also deliver refresher training on core regulatory requirements such as client money, financial promotions, complaints and financial crime.

     

    For new hires, we can provide regulatory introductions and dedicated training for compliance officers and money laundering reporting officer.

     

    If you would like us to design a training programme specific to your firm's needs, click here. Get in touch to find out more.

    Regulatory due diligence, acquisition of FCA authorised company, chage in control

    Regulatory due diligence

    Investment committee reports + Healthchecks + Application reviews

    If you are considering investing in or acquiring an FCA regulated firm, you may want peace of mind that they are set up in a way that should not cause concern for you further down the line.

     

    Whether it is reviewing the authorisation application for a newly established firm, or undertaking a full compliance health check on an existing firm, we can provide you with the detail about the regulatory strengths and weaknesses to help you make an informed decision.

     

    We can also help to prepare the change in control application for the FCA, as part of the service. Get in touch to find out more.

    variations of permission, change in control, breach notification, principle 11 notification

    Applications, notifications

    Variations of permission + Changes in control + Breaches

    Your interactions with the FCA are crucial.

     

    We can help you to prepare applications for new approved persons, changes in control and variations of permission.

     

    We can also help you draft notifications when you want to advise the FCA of events that have occurred such as changes to your business or breaches of rules, including Principle 11 notifications. Get in touch to find out more.

  • Services For New Firms

    We have dedicated services for companies that are starting-up, spinning out and scaling up to help them navigate the regulatory regime.

    FCA Authorisation, FCA registration

    FCA Authorisations

    Strategy + Application + Procedures

    Our authorisation services help you to balance your regulatory requirements with your commercial needs from the get go.

     

    So that you can address any areas of concern ahead of submitting your application, we highlight areas of risk or weakness.

     

    We can also take the hard work of preparing your authorisation application away, so you can keep focusing on building your business.

    FCA training, Approved person training, Compliance training

    Training 

    Approved persons + Compliance officer + Hot topics

    Regulation is a vast topic but our experienced trainers know how to point out the wood for the trees.  We can provide training designed especially for your firm focussing on the areas that will affect you in practice.

     

    Particularly popular with firms preparing for authorisation, we provide regulatory introductions for the whole firm or dedicated training for the compliance officer and money laundering reporting officer.  Get in touch to find out more.

    FCA procedures, Compliance monitoring, Compliance monitoring programme, compliance health check

    Compliance framework

    Health checks + Monitoring + Design

    Once you’re through the authorisation process, if you want peace of mind that you are meeting the FCA’s expectations, we can design and embed your regulatory programme.

     

    In addition, we provide compliance monitoring while your compliance officer is finding their feet, and we can conduct health checks on the business and provide a report for your board.  Get in touch to find out more.

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