List of Member Firms

Address:

7 Cleave Prior

Chipstead

Coulsdon

CR5 3YF

 

Telephone: 01737 555515

 

Fax:

 

E-mail: cwc@cattellyst.co.uk

 

Website: www.cattellyst.co.uk

 

The Cattellyst Consultancy is a competence and compliance consultancy, established in 1992, which specialises in the people aspects of regulation. We offer a range of competence, compliance and related management consultancy services to our clients, through which we advise, train and develop senior managers and their staff about the human aspects of regulation with a particular focus on managing people risk, enhancing expertise and securing an ethical culture. Our clients are drawn from across institutional, wholesale and retail financial services including product providers, fund managers, general insurers, intermediary firms, trade associations, examining bodies and regulators. Examples of projects recently undertaken include: • Designing and facilitating development programmes on compliance and people risk management issues • Reviewing senior management and Approved Persons arrangements in the light of regulatory developments and preparing boards for ARROW and TCF visits • Advising firms and associations about the Retail Distribution Review, including research into work based assessment and creating alternative assessment regimes • Defining standards of performance, occupational competencies and creating examination syllabi • Benchmarking good practice and running workshops on Training and Competence, Treating Customers Fairly, More Principle Based Regulation and Operational Risk • Creating bespoke people risk and competence toolkits for several market associations • Devising and implementing a Culture Monitoring and Development Toolkit which enables firms to verify how effectively they have embedded the fair treatment of customers • Developing the pension trustee e-learning package “Trusteetoolkit.com”

 

Number of Consultants: Sole Consultant

 

Geographic Area Covered: Whole of UK and offshore jurisdictions

 

Types of Client Firm Served:

Authorised Professional		Investment Banks	✓
Banks/Deposit Takers	✓	Lloyds	✓
Building Societies	✓	Mortgage Brokers	✓
Collective Investments Funds	✓	Mortgage Lenders/Administrators
Corporate Finance Firms		Multi lateral trading facility
Credit Unions		Payments Institutions	✓
Electronic Money Issuers		Pension Scheme Operator/Provider
Energy Market Participants		Private Client Investment Management	✓
Friendly Societies	✓	Retail Investment Management	✓
IFA	✓	Sale and rent back
Institutional Investment Management	✓	Secondary Intermediaries
Insurance Brokers - General	✓	Securities and Futures Firms	✓
Insurance Brokers - Pure Protection Products	✓	Stockbrokers	✓
Insurers	✓	Third Party Providers

 

Services Offered:

Authorisation		File Review
Compliance Advice	✓	Financial Returns Assistance
Compliance Support	✓	Health Checks	✓
Compliance Training	✓	Mis-selling Reviews
Complaints Reviews		Money Laundering Reviews
Documentation	✓	Pension Reviews
Enforcement Action	✓	Regulatory Updates
Expert Witness		Skilled Persons Reports	✓

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