Our compliance support services

Compliance audits

Let us help you with your compliance by outsourcing your internal audit function to us

Advice

Use our Helpdesk to pick up the phone and ask all your compliance queries

Training & competence

We will help get your team up to date on their regulatory roles and responsibilities

FCA file reviews compliance

We will perform a review to identify any issues regarding suitability before final completion

Compliance call monitoring

We can perform call monitoring and review your procedures and systems so you stay compliant

Complaint handling

Support in handling complaints in a compliant way that protects your business and customers

Financial promotions

We will ensure all your financial promotions adhere to being “fair, clear and not misleading”

Knowledge centre

Our online compliance training portal, with up-to-date e-learning modules for your entire team

Regulatory updates

As the landscape changes we will inform you as and when you need to take action

RegData returns

Supporting you to complete your regulatory returns and keep to the FCA’s tight deadlines

Payment Services

From start-ups to established businesses, we support payment service and e-money providers with a smooth journey to payment services compliance.

Types of services

We take the payment services compliance workload off your plate, so you can continue to comply as your business grows, without your regulatory responsibilities slowing innovation.

Applications

Preparing your submission and supporting documents, answering feedback and questions from the FCA; we’re there from beginning to end and beyond

Compliance support

Comfort that the right processes are in place to meet your payment services compliance obligations on an ongoing basis, from regular audits and technical advice, to a strong compliance document suite

Audit and advisory

Having worked with over 250 payment and E-money firms, we know one size does not fit all when it comes to payment services compliance, our support is always tailor-made in the way that works best for you

Credit & Mortgages

Cutting through the complexity to deliver hands-on consumer credit compliance and mortgage compliance support for every business, from boutiques, and start-ups to market leaders, within the ever-changing UK credit and mortgage market.

Types of credit & Mortgages compliance services

With a commercial lens and birdseye view over the whole consumer credit and mortgage compliance landscape, we apply our expertise to get ‘good consumer outcomes’.

Applications

Navigating the depth of technical knowledge and breadth of documentation for submission is tough, save time and money by getting it right, first time

Consumer Credit Compliance support

We’ll preempt possible pitfalls, by keeping up to date with changes to meet the FCA threshold conditions, and keeping your policies and procedures compliant

Audit and advisory

Reviewing your vulnerable customer and responsible lending procedures, or developing policies as your business grows – we’ll help protect your business and customers

General Insurance

Practical support from a team of insurance experts, to translate general insurance compliance legislation into plain English.

Types of general insurance compliance services

We are problem-solvers with a deep understanding of your regulatory requirements as an insurance provider, and the increasing costs and complex compliance that go along with it.

Applications

With our expert help the authorisation process becomes more efficient and smoother, so we can have you trading much faster than going it alone

Compliance support

We aim to add value, providing practical general insurance compliance support that’s as hands-on or light-touch as you need

Audit and advisory

From audits and advisory, to CASS, TOBA reviews, supervision and financial crime, we can support you across every insurance compliance project

Applications

We have supported 1000+ firms to preempt the pitfalls and get their application right, with our expert FCA authorisation service.

FCA Authorisation

Meeting the threshold conditions does not have to be daunting or difficult. Your subject matter expert will assist you to navigate the twists and turns on the road to FCA registration, or authorisation

CIC

Need FCA approval to change control in your firm or of a target firm? We aim to have the application deemed ‘complete’ as quickly as possible. Making the process to change faster

VOP

When you want to change or add to your regulated activities, we can advise and provide hands-on support through the whole variation of permission process. Including fielding follow-ups from the FCA

Agent and Distributor application

We are here on your journey to authorisation, helping you onboard with the principal by providing support. From providing the right documentation, to assisting to complete submission forms, interview preparation and answering follow-up questions

Appointed representative support

If you have appointed, or are looking to appoint an AR, we understand the responsibilities and can perform due diligence on prospective ARs and assist with ongoing monitoring and oversight of appointed ARs

AML registration

Registering for supervision under the money laundering regulations is a compliance requirement for the majority of financial services businesses. We will help you provide the detailed and accurate information expected by the FCA

SM (individual applications)

The Senior Management & Certification Regime (and its many processes and requirements) applies to many regulated firms. The FCA requests comprehensive records for senior managers, so our systems for record-keeping are critical

Card Scheme applications

Applying to be a principal member of either Visa and Mastercard can be a rigorous process. We can help prepare operational procedures to take the stress out of the application

Financial Crime

Our highly experienced team include ex-regulators and big bank compliance officers, solving financial crime compliance complexities from risk assessments, to training, and regulatory visits.

Solutions tailored to you

We apply our detailed knowledge of regulation, industry best practice, and financial crime risk to create practical tailored solutions for your firm. 
We offer effective assistance ranging from outsourced operational due diligence, framework audits, desktop and face-to-face training and assistance in interpreting and implementing the regulations and legislation.

Support through complexity

We support firms to navigate the complexities of financial crime regulations, including 
providing firms with practical, scalable and industry best practice advice based on our extensive knowledge and experience.

Protect your business

There is no one size fits all solution to the challenge of financial crime compliance, but our specialist financial crime team is here to help you protect your business, your customers, and your good standing with the regulators. 

Guard against risk

We can help you guard your business against all aspects of financial crime risk, including Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF), Anti-Bribery and Corruption (ABC), Anti-Facilitation of Tax Evasion (AFTE), sanctions evasion and
fraud.