the DIRECTORY
9 Guithavon St
Witham
Essex
CM8 1BJ
T: 01376 514166
E:
www.compliantsolutions.co.uk
No. of consultants: 2-3
Geographic area covered: UK
  • National

Compliant Solutions Ltd

Based in Essex with a team of consultants covering the UK we provide hands on support to firms seeking to become directly authorised.  For existing regulated firms we provide on-going compliance monitoring support.

types of client firm served:

  • Corporate Finance Firms
  • IFA (incl IFA divisions of financial institutions)
  • Insurance Brokers - General
  • Insurance Brokers - Pure Protection Products
  • Lead generation firms
  • Money Service Businesses
  • Mortgage Brokers
  • Payments Services Institutions
  • Restricted financial advisers
  • Secondary Intermediaries
  • Securities and Futures firms

services offered:

  • Advice pre regulatory risk assessment or supervision visit
  • Authorisation -FCA
  • Client Assets
  • Complaints Handling Reviews
  • Compliance advice
  • Compliance Support
  • Compliance Training
  • Documentation
  • Due Diligence
  • File Review
  • Health Checks
  • Marketing and Business Development
  • Money Laundering/Financial Crime Advice and Reviews
  • Payments Services Registration and Compliance
  • Regulatory Returns Assistance
  • Regulatory Updates

Services to other firms:

  • Locum/Mentoring/Buddying
  • Technical Helpdesk