PO Box 27
CH43 7WA
T: 0151 652 1755
F: 0151 652 1755
No. of consultants: 2-3
Geographic area covered: North East, Yorkshire, North West, North Wales
  • Yorkshire
  • North West
  • North East
  • North Wales

Compliance Solutions (UK) Limited

Compliance Solutions (UK) Ltd was established to deliver a tailored and exclusive service to Financial Advisers, Stockbrokers, Solicitors and Accountancy Practices, on the regulatory controls of the financial services industry and the framework in which they operate.  Backed by a team of experienced compliance professionals, the service provided draws upon their breadth of experience, commercial awareness and practical skills.  Services include: Initial audits and monitoring, provision of on-going monitoring, procedural installation, compliance documentation, T&C guidance, TCF guidance, Staff training.

types of client firm served:

  • Authorised Professional Persons
  • Building Societies
  • Friendly Societies
  • IFA (incl IFA divisions of financial institutions)
  • Insurance Brokers - Pure Protection Products
  • Mortgage Brokers
  • Mortgage Lenders/Administrators
  • Pension Scheme Operator/Provider
  • Stockbrokers

services offered:

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