Our compliance services

Below is a list of the typical services we provide to our clients. If you have questions about these or any other services please contact us.

FCA compliance audits

We will conduct a thorough review of your current compliance arrangements to identify any areas of weakness. A comprehensive report on our findings will be provided, with details of any actions required.

Ongoing compliance support

Continuous support is available through any combination of on-site visits, telephone and email. We always endeavour to respond to your requests and queries without delay.

Pre-acquisition due diligence

Buying another business is a big step and the status of the target firm’s compliance with FCA rules could affect your own regulatory exposure. We can help you to avoid surprises by conducting a confidential pre-acquisition compliance assessment.

Provision of documentation and procedures manuals

We can help to produce compliance and procedures manuals which are customised to your precise needs. We also provide training and competence schemes, compliance monitoring programmes, client letter templates, disclosure documents, business agreements and many other types of documentation you will need, once again all tailored to your specific requirements.

New applications for FCA authorisation

We can guide you through the complex process of applying for authorisation by project managing your application. Our service ensures that the application is complete and accurate, thus minimising any delays to your gaining authorisation and commencement of trading.

Help with RMAR Reporting

We can help firms to complete regulatory returns, collecting the relevant data and ensuring that the returns are submitted accurately and on time.

File reviews

Our consultants can visit your offices to review a selection of each sales employee’s files. You will subsequently be provided with a status report on their compliance with FCA rules and your own procedures.

Appointed Representative monitoring

We provide a comprehensive monitoring service for principals, including visiting AR firms and reporting back on compliance issues.

Programmes for TCF & Conflict of Interest

We can help you to identify any issues that may need to be addressed, to create action plans and monitoring programmes.

Business planning

Business plans should be regularly reviewed so that firms can identify, measure, manage and control risks of regulatory concern. This is a process with which we can assist.


We are able to deliver bespoke training at your place of business on a wide range of compliance related subjects. Ask us for details.

Preparation for FCA visits

If you have been informed that your business is going to receive a visit from the FCA, we can help by making sure that your compliance arrangements are adequate and by coaching staff on how best to respond to the FCA’s representatives.

Complex compliance queries

We pride ourselves on being able to provide answers to complex compliance issues, including those associated with firms which are on the perimeter of FCA regulation.

Executive coaching

To complement our compliance consultancy services, we also offer senior leaders executive coaching.

More information

Binding authority audits

We can review your management of binding authorities to ensure they are adequately controlled and potential conflicts of interest identified and mitigated.

Special projects

Because of our range of skills, we can often assist in areas which are not specifically compliance related. Tell us what your requirements are and we will let you know how we can help.