Services

TCF & RDR programme building and GAP report assessments

Management Mentoring & staff coaching

Management training to meet SYSC obligations

Firm Risk Assessment & Disaster Plan formulation

Compliance, Money Laundering, Data Protection, Training and Competence and Board reports formulation

Training & Competence assessment programme

Recruitment issues and Employment relationships

Financial Promotions strategies

'Engaging with clients' documentation

File audits & due diligence

Client servicing strategy

Client & Product Risk Assessment

Complaints Procedures and complaints handling

Anti-Money Laundering matters

Data Protection matters

Documentation requirements

Example contracts undertaken

Contact us

Please complete the contact form below.

FCA registered

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Which service are you interested in?

The Complete Compliance Service

A Simulated FCA Visit

Complaints Handling Service

TCF Audit/GAP Report/ RDR audit

Anti Money Laundering Audit

Data Protection Audit

Management Mentoring Services (SYSC Obligations)

Compliant Sales Documentation (Engaging With The Client)