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ASSOCIATION OF
PROFESSIONAL
COMPLIANCE
CONSULTANTS.
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DWF Regulatory Consulting
1 Scott Place
2 Hardman Street
Manchester
M3 3AA
T: 03333203330
E:
Andrew.Jacobs@dwf.law
www.dwf.co.uk
No. of consultants:
4-5
Geographic area covered:
UK Nationally, with legal offices in other international jurisdictions
National
DWF Regulatory Consulting
DWF specialise in providing advisory and legal services to FCA, PRA and PSR regulated firms.
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