Helping you meet financial services compliance

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An indication of what we do....

 

A London law firm urgently required a wide ranging expert witness report relating to the systems and controls in an advisory business. Led by our Director of Compliance we used a team of our own employees plus two highly skilled consultants from our Associates book. We delivered the report to time-scale and under budget and took part in the subsequent court proceedings.

A big four firm required technical and management resource to assist with an advice based S.166 report. Under a sub-contract we provided two of our employees.

For over 3 years we’ve provided regular T&C assessments for an IFA practice that specialises in wealth management and workplace pensions. We make regular changes to the assessments to ensure variation and testing of different skills. Outsourcing allows our client the opportunity to have independent verification of each adviser’s ability and a different perspective of issues that arise. Whilst the work was initially undertaken by one of our Associates, it was continuously monitored by our Compliance Manager, so when the Associate decided to retire it was easy for our Compliance Manager to take over the contract without loss of continuity.

One national Client approached us to assist in updating their compliance manuals. They provided the existing manuals with details of areas that they felt needed amendment or additions for certain procedures. We drafted new content from scratch also suggesting changes to give clarity and guidance. In some areas we made radical changes to the way in which information was presented.