the DIRECTORY
3 Lines of Defence Consulting Limited logo
67 Grosvenor Street
Mayfair
London
W1K 3JN
T: 02071291270
E:
www.3ldc.com
No. of consultants: 6-8
Geographic area covered:
  • National

3 Lines of Defence Consulting Limited

3LDC provides focussed advisory and support services and effective practical delivery, drawing upon our extensive “hands-on” experience. Our teams are led by a combination of former C-Suite, heads of function and other senior managers, who possess a wealth of expertise. We fully understand the needs of our diverse client base, from their perspective.  The services encompass governance / regulatory / control frameworks and projects, financial crime prevention, GDPR, SMCR, ethics, culture, OpRisk, expert witness, training and mentoring.  3LDC supports clients in their interaction with the FCA, including authorisations and variations of permission.  We also draw on our professional partnership network to provide a broader umbrella of services including areas such as legal, marketing, technology and cybersecurity.

types of client firm served:

  • Authorised Professional Persons
  • Collective Investments Funds
  • Company Service Providers
  • Corporate Finance Firms
  • Custodians/Depositaries
  • Discretionary fund managers
  • Energy Market Participants
  • Institutional investment management
  • Investment Banks
  • Multi lateral trading facility
  • Private Client investment management
  • Retail investment management
  • Secondary Intermediaries
  • Securities and Futures firms
  • Stockbrokers
  • Third party product providers

services offered:

  • Authorisation -FCA
  • Client Assets
  • Complaints Handling Reviews
  • Compliance advice
  • Compliance Support
  • Compliance Training
  • Enforcement Action - AML and Payment Services
  • Enforcement Action - Financial Services
  • Expert Witness - AML and Payment Services
  • Expert Witness - Financial Services
  • File Review