5 Highley Hall Croft
West Yorkshire
T: 01484 715225
F: 01484 715225
No. of consultants: Sole
Geographic area covered: Based in Yorkshire but able to work across the UK
  • National

Active Compliance Services Limited

Active Compliance Services Ltd are able to offer a range of compliance services to Independent Financial Advisers, General Insurance Brokers and Mortgage Brokers. The firm offers a bespoke service that is tailored to meet the needs of a particular firm. This is agreed upon discussion with the firm and generally upon undertaking an initial assessment of the business. Sharon Wilson, the Principal of Active Compliance Services Ltd, has worked in the financial services area of compliance since 1992. The firm currently advises sole traders, partnerships and small and large limited companies. The service can be adapted from a one off compliance review in a particular area to on-going compliance support to assist the firm to adapt to the changes that inevitable affect our industry. The firm is also able to supply a quotation for skilled person (s166) report as required by FSA. Please call to discuss your requirements further.

types of client firm served:

  • IFA (incl IFA divisions of financial institutions)
  • Insurance Brokers - General
  • Insurance Brokers - Pure Protection Products
  • Mortgage Brokers

services offered:

  • Authorisation - PRA
  • Complaints Handling Reviews
  • Compliance Support
  • Compliance Training
  • Documentation
  • Enforcement Action - Financial Services
  • Expert Witness - Financial Services
  • File Review
  • Health Checks
  • Mis-selling Reviews
  • Money Laundering/Financial Crime Advice and Reviews
  • Pension Reviews
  • Regulatory Returns Assistance
  • Regulatory Updates