18 Woodhill Avenue
BS20 7EX
T: 01275 390081
No. of consultants: 2-3
Geographic area covered: UK
  • National

Compliance Cubed Ltd

Based in the Bristol area but covering the UK we provide hands on support to firms seeking to become directly authorised through to on-going compliance monitoring support. Our work includes developing and monitoring systems, policies and programmes including training and competence and providing advice in relation to FCA policy as it develops.

types of client firm served:

  • Consumer Credit Providers
  • Corporate Finance Firms
  • Discretionary fund managers
  • IFA (incl IFA divisions of financial institutions)
  • Insurance Brokers - General
  • Insurance Brokers - Pure Protection Products
  • Mortgage Brokers
  • Payments Services Institutions
  • Private Client investment management
  • Retail investment management
  • Secondary Intermediaries
  • Stockbrokers

services offered:

  • Authorisation -FCA
  • Client Assets
  • Complaints Handling Reviews
  • Compliance advice
  • Compliance Support
  • Compliance Training
  • Documentation
  • Enforcement Action - Financial Services
  • File Review
  • Health Checks
  • Money Laundering/Financial Crime Advice and Reviews
  • Regulatory Returns Assistance
  • Regulatory Updates

Services to other firms:

  • Locum/Mentoring/Buddying