25 Nethervale Avenue
East Renfrewshire
G44 3XP
T: 07717 130 031
No. of consultants: Sole
Geographic area covered: Glasgow, Strathclyde and Scottish Central Belt. Complaints handling for all of UK.
  • Edinburgh
  • Central Scotland
  • Glasgow

Caledonia Consultancy

We offer a specialised range of services to assist our clients meet both the spirit and the letter of the regulatory rules whilst continuing to function as an effective business. Our bespoke documentation system aims to provide competent client service and enhanced net profit as well as avoiding future complaints. We are not "box tickers" and "wrist slapping gurus". We offer a personal, hand on approach working with all staff. All our clients arrive via personal recommendations. Often our first assignment is as compliance trouble shooters. Please see our web site for more information.

types of client firm served:

  • Authorised Professional Persons
  • Discretionary fund managers
  • IFA (incl IFA divisions of financial institutions)
  • Insurance Brokers - Pure Protection Products
  • Mortgage Brokers
  • Restricted financial advisers
  • Retail investment management

services offered:

  • Advice pre regulatory risk assessment or supervision visit
  • Authorisation -FCA
  • Client Assets
  • Complaints Handling Reviews
  • Compliance advice
  • Compliance Support
  • Compliance Training
  • Documentation
  • Enforcement Action - AML and Payment Services
  • Enforcement Action - Financial Services
  • File Review
  • Health Checks
  • Management training & support, Staff training
  • Mis-selling Reviews
  • Money Laundering/Financial Crime Advice and Reviews
  • Pension Reviews
  • Regulatory Returns Assistance
  • Regulatory Updates