the DIRECTORY
7 Carr Road
Todmorden
West Yorks
OL14 7EY
T: 0790 393 6983 and 01706 550654
E:
www.compliancemattersltd.com
No. of consultants: Sole
Geographic area covered: subject to our clients requirements

Compliance Matters Limited(TM)

Compliance Matters Limited® was established in 2001 to offer advice on Compliance, Governance and Risk issues to regulated firms. We take time to listen and identify the areas that require support to meet both your business and regulatory requirements.

types of client firm served:

  • Authorised Professional Persons
  • Building Societies
  • Collective Investments Funds
  • Company Service Providers
  • Consumer Credit Providers
  • Corporate Finance Firms
  • Credit Unions
  • Friendly Societies
  • IFA (incl IFA divisions of financial institutions)
  • Insurance Brokers - General
  • Insurance Brokers - Pure Protection Products
  • Insurers
  • Investment Banks
  • Lead generation firms
  • Money Service Businesses
  • Mortgage Brokers
  • Mortgage Lenders/Administrators
  • Payments Services Institutions
  • Pension Scheme Operator/Provider
  • Restricted financial advisers
  • Retail investment management
  • Sale and Rent Back
  • Secondary Intermediaries
  • Third party product providers
  • Trade associations, professional bodies and regulators

services offered:

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

Services to other firms:

  • Documentation
  • Locum/Mentoring/Buddying
  • Technical Helpdesk
  • Temporary Consultants