the DIRECTORY
Birchin Court
20 Birchin Lane
London
EC3V 9DU
T: 020 7638 9830
E:
www.cclcompliance.com
No. of consultants: 11-15
Geographic area covered: UK, UAE and India
  • National

CCL Compliance Ltd

CCL helps you lift the burden of FCA compliance. We can take you through every part of the compliance process including initial authorisation. Just some of our other services include preparing documentation, regular reviews, anti-money laundering, CASS and outsourcing. Because compliance is all we do, you know you’ve got genuine experts working on your behalf. Our Principals, Senior Consultants and Consultants have worked in every area of the financial services industry in every area of regulation. And although CCL is based in the City of London, our clients are spread throughout the world. This gives us a genuinely global perspective whether you’re new to the UK or looking to expand overseas.

 CCL also provides comprehensive training to regulated firms ranging from AML and SIF through to CASS and prudential rules.

types of client firm served:

  • Banks/Deposit Takers
  • Building Societies
  • Collective Investments Funds
  • Corporate Finance Firms
  • Custodians/Depositaries
  • Discretionary fund managers
  • Energy Market Participants
  • Friendly Societies
  • High Value Dealers
  • Institutional investment management
  • Insurance Brokers - General
  • Insurance Brokers - Pure Protection Products
  • Insurers
  • Investment Banks
  • Lloyds
  • Multi lateral trading facility
  • Private Client investment management
  • Retail investment management
  • Securities and Futures firms
  • Stockbrokers
  • Wrap Platforms

services offered:

  • Advice pre regulatory risk assessment or supervision visit
  • Authorisation - PRA
  • Authorisation -FCA
  • Client Assets
  • Complaints Handling Reviews
  • Compliance advice
  • Compliance Support
  • Compliance Training
  • Documentation
  • Due Diligence
  • Enforcement Action - AML and Payment Services
  • Enforcement Action - Financial Services
  • Expert Witness - AML and Payment Services
  • Expert Witness - Financial Services
  • File Review
  • Health Checks
  • Management training & support, Staff training
  • Marketing and Business Development
  • Money Laundering/Financial Crime Advice and Reviews
  • Regulatory and Examination Training and Coaching
  • Regulatory Returns Assistance
  • Regulatory Updates
  • Shadow s.166 reviews

Services to other firms:

  • Documentation