the DIRECTORY
5 Horner Avenue
Fradley
Lichfield
Staffordshire
WS13 8TR
T: 07580 037320
E:
No. of consultants: Sole
Geographic area covered: UK

Compliance Consultancy Solutions Ltd

Providing a bespoke, user friendly compliance service to IFAs, Solicitors, Accountants, GI and Mortgage Brokers, with over 17 years compliance experience.

types of client firm served:

  • Authorised Professional Persons
  • Discretionary fund managers
  • Friendly Societies
  • IFA (incl IFA divisions of financial institutions)
  • Insurance Brokers - General
  • Insurance Brokers - Pure Protection Products
  • Insurers
  • Mortgage Brokers
  • Mortgage Lenders/Administrators
  • Pension Scheme Operator/Provider
  • Restricted financial advisers
  • Retail investment management
  • SIPP providers

services offered:

  • Advice pre regulatory risk assessment or supervision visit
  • Authorisation -FCA
  • Complaints Handling Reviews
  • Compliance advice
  • Compliance Support
  • Documentation
  • Due Diligence
  • 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

Services to other firms:

  • Documentation
  • Locum/Mentoring/Buddying
  • Newsletters
  • Temporary Consultants