the DIRECTORY
Compliance First logo
Building 2, Kirkhill House
Broom Road East
Newton Mearns
Glasgow
G77 5LL
T: 0141 616 4161
E:
www.compliancefirst.co.uk
No. of consultants: 4-5
Geographic area covered: UK
  • National

Compliance First

Compliance First is the leading and independent provider of bespoke compliance and business solutions for Scotland, Northern Ireland and Northern England.  The team provides firms with the tools and advice necessary to run a successful business and is committed to raising the standard of professional support.

 

Its personal service is designed to ensure that Clients fully realise the benefits of their comprehensive range of services and added value support to assist the growth of their business.  Whether a firm wants to seek direct authorisation, increase business volumes or get help and support, their aim is to provide all the support and facilities a firms needs to achieve exactly what they want for their own business

types of client firm served:

  • Authorised Professional Persons
  • IFA (incl IFA divisions of financial institutions)
  • Insurance Brokers - General
  • Insurance Brokers - Pure Protection Products
  • Insurers
  • Mortgage Brokers

services offered:

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