7 Cleave Prior
T: 01737 555515
No. of consultants: Sole
Geographic area covered: Whole of UK and offshore jurisdictions
  • National

The Cattellyst Consultancy

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, the development of competence and expertise, ethical business practices and the enhancement of corporate culture.  We carry out senior level assignments relating to corporate governance, learning, personal development, coaching and leadership. 

Examples of projects recently undertaken include:

  • Developing and delivering briefing sessions for boards and individual directors of international groups, listed companies and mutuals on corporate governance issues and board performance.
  • Reviewing senior management and Approved Persons arrangements in the light of regulatory developments, conducting board culture audits and preparing board members for regulatory visits.
  • Benchmarking good practice and running associated workshops on a range of regulatory topics.
  • Conducting audits and enhancements of firms’ training and competence arrangements (including the verification of compliance with international regulatory requirements.
  • Devising and implementing culture and people risk methodologies to enable firms to identify risk exposures implement culture change and verify staff engagement.
  • Creating and facilitating management and supervisory development programmes for line managers and investment managers with supervisory responsibilities.
  • Designing and facilitating development programmes and creating trainer support packages on a range of regulatory and technical issues including compliance, competence, complaints, Treating Customers Fairly, leadership and supervision.
  • Developing qualifications standards and indicative syllabi.
  • Advising on operational arrangements for Accredited Bodies

types of client firm served:

  • Authorised Professional Persons
  • Banks/Deposit Takers
  • Collective Investments Funds
  • Company Service Providers
  • Custodians/Depositaries
  • Discretionary fund managers
  • Friendly Societies
  • IFA (incl IFA divisions of financial institutions)
  • Institutional investment management
  • Insurance Brokers - General
  • Insurance Brokers - Pure Protection Products
  • Insurers
  • Investment Banks
  • Lloyds
  • Mortgage Brokers
  • Mortgage Lenders/Administrators
  • Pension Scheme Operator/Provider
  • Private Client investment management
  • Restricted financial advisers
  • Retail investment management
  • Securities and Futures firms
  • Stockbrokers
  • Third party product providers
  • Trade associations, professional bodies and regulators

services offered:

  • Advice pre regulatory risk assessment or supervision visit
  • Compliance advice
  • Compliance Support
  • Compliance Training
  • Enforcement Action - Financial Services
  • Health Checks
  • Regulatory Updates

Services to other firms:

  • Locum/Mentoring/Buddying
  • Temporary Consultants