the DIRECTORY
Compliancy Services Ltd logo
New Broad Street House
35 New Broad Street
London
EC2M 1NH
T: 0207 060 4499
F: 0870 132 1520
E:
www.compliancy-services.co.uk
No. of consultants: 16-20
Geographic area covered: UK
  • National
contact image
Ben Mason -
Joint CEO

Compliancy Services Ltd

Compliancy Services is a professional and established compliance consultancy that assists its clients to achieve and maintain compliance with the FCA regulations.  We are a professional support firm that adopts a parternship and long term approach.  Our clients benefit from having transparency over their compliance risks at all times and the comfort of a professional Compliance Partner, to turn to as their businesses grow and develop and we have unique and bespoke supporting technology.

types of client firm served:

  • Banks/Deposit Takers
  • Building Societies
  • Collective Investments Funds
  • Consumer Credit Providers
  • Corporate Finance Firms
  • Custodians/Depositaries
  • Discretionary fund managers
  • Electronic Money Issuers
  • Energy Market Participants
  • High Value Dealers
  • IFA (incl IFA divisions of financial institutions)
  • Institutional investment management
  • Insurance Brokers - General
  • Insurance Brokers - Pure Protection Products
  • Investment Banks
  • Lloyds
  • Money Service Businesses
  • Mortgage Brokers
  • Mortgage Lenders/Administrators
  • Multi lateral trading facility
  • Payments Services Institutions
  • Private Client investment management
  • Restricted financial advisers
  • Retail investment management
  • Secondary Intermediaries
  • Securities and Futures firms
  • SIPP providers
  • Stockbrokers
  • Third party product providers

services offered:

  • Advice pre regulatory risk assessment or supervision visit
  • Authorisation - PRA
  • Authorisation -FCA
  • Client Assets
  • Complaints Handling Reviews
  • Compliance advice
  • Compliance Support
  • Compliance Training
  • Documentation
  • Due Diligence
  • Enforcement Action - AML and Payment Services
  • Enforcement Action - Financial Services
  • Expert Witness - AML and Payment Services
  • Expert Witness - Financial Services
  • File Review
  • Health Checks
  • Management training & support, Staff training
  • Mis-selling Reviews
  • Money Laundering/Financial Crime Advice and Reviews
  • Payments Services Registration and Compliance
  • Pension Reviews
  • Regulatory Returns Assistance
  • Regulatory Updates