DWF Regulatory Consulting

types of client firm served:

• Authorised Professional Persons
• Banks/Deposit Takers
• Building Societies
• Claims Management Companies
• Collective Investments Funds
• Company Service Providers
• Consumer Credit Providers
• Corporate Finance Firms
• Credit Unions
• Custodians/Depositaries
• Discretionary fund managers
• Electronic Money Issuers
• Energy Market Participants
• Friendly Societies
• High Value Dealers
• IFA (incl IFA divisions of financial institutions)
• Institutional investment management
• Insurance Brokers - General
• Insurance Brokers - Pure Protection Products
• Insurers
• Investment Banks
• Lead generation firms
• Lloyds
• Money Service Businesses
• Mortgage Brokers
• Mortgage Lenders/Administrators
• Payments Services Institutions
• Private Client investment management
• Restricted financial advisers
• Retail investment management
• Sale and Rent Back
• Secondary Intermediaries
• Securities and Futures firms
• SIPP providers
• Stockbrokers
• Third party product providers
• Trade associations, professional bodies and regulators
• Travel Insurers
• Trust Service Providers
• Wrap Platforms

services offered:

• Authorisation - PRA
• Authorisation -FCA
• Client Assets
• Complaints Handling Reviews
• Compliance advice
• Compliance Support
• Compliance Training
• Documentation
• Enforcement Action - Financial Services
• Expert Witness - Financial Services
• File Review
• Health Checks
• Money Laundering/Financial Crime Advice and Reviews
• Payments Services Registration and Compliance
• Pension Reviews
• Regulatory Returns Assistance
• Regulatory Updates