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Resources Compliance (UK) LimitedMember reference number: 05054
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Address: 2nd Floor 117 Houndsditch London EC3A 7BT |
Telephone: +44 (0)207 422 7780 Fax: +44 (0)207 422 7790 E-mail: simon.collins@resources-uk.com Website: www.resourcescompliance.co.uk |
FSA compliance support from one of the UK's longest established firm of independent specialists. We view your business as unique. Our focus is specific to your requirements. We take time to listen to you, explore your business, identify areas requiring support and offer a level of service to suit your specific needs. Our guidance will keep you and your staff within the guidelines and out of trouble. Resources Compliance offers added value services to FSA regulated businesses and those firms wishing to become regulated. We offer specific help in a wide variety of areas including; :- ARROW reviews, Risk Assessments and Compliance Audits, Skilled Person and Past Business Reviews, Compliance Procedures production, FSA Application and Variation Of Permission service, Compliance Training
Number of Consultants: 11-25
Geographic Area Covered: Nationwide
Types of Client Firm Served:
| Authorised Professional Persons | Insurers |
| Banks/Deposit Takers | Investment Banks |
| Building Societies | Lloyds |
| Collective Investments Funds | Mortgage Brokers |
| Corporate Finance Firms | Mortgage Lenders/Administrators |
| Credit Unions | Payments Services Institutions |
| Custodians/Depositaries | Pension Scheme Operator/Provider |
| IFA (incl IFA divisions of financial institutions) | Private Client investment management |
| Institutional investment management | Retail investment management |
| Insurance Brokers - General | Securities and Futures firms |
| Insurance Brokers - Pure Protection Products | Stockbrokers |
Services Offered:
| Advice pre Arrow visit/S166 report | File Review |
| Authorisation - Financial Services Firms | Health Checks |
| Client Assets | Mis-selling Reviews |
| Complaints Reviews | Money Laundering Advice and Reviews |
| Compliance Support | On-going Advice |
| Compliance Training | Pension Reviews |
| Documentation | Regulatory Returns Assistance |
| Enforcement Action - Financial Services | Regulatory Updates |
| Expert Witness - Financial Services | Skilled Persons Reports |