T: 01945 474612
No. of consultants: Sole
Geographic area covered: Nationwide but focusing on East Anglia and East Midlands
  • National

Corylus Compliance Services

I have worked in financial services for over 27 years and for 6 of those years was the compliance director for a regional IFA and investment management group. Over the years I have developed in-depth knowledge and understanding of FCA rules and regulations and can develop and help maintain core business quality-assurance measures and principles. I believe compliance should be seen as business focused and creative, achieving cost benefits for firms by implementing efficiency and quality improvements. My real business experience enables me to turn regulation into commercial reality in a pragmatic way that recognises any firm's need for profitability.

types of client firm served:

  • Discretionary fund managers
  • IFA (incl IFA divisions of financial institutions)
  • Insurance Brokers - Pure Protection Products
  • Private Client investment management
  • Restricted financial advisers
  • Retail investment management

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
  • 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

Services to other firms:

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