The First Financial Consultancy Limited

The First Financial Consultancy was formed in 1991 and has specialised in regulatory compliance for over 20 years. During that period we hav worked for most of the major IFA firms and product providers. Our team of consultants brings together experience from the IFA sector, from regulation, and from management consultancy.

We specialise in;-

helping firms obtain FCA authorisation
compliance work for investment intermediaries (both IFAs and restricted advice firms);
advising operators of collective investment schemes
complaints handling
training and competence
acting as the outsourced compliance officer

Our work combines specialist knowledge of the FCA rules with a balanced and pragmatic view of the commerical realities. We provide intelligent consultancy rather than box-ticking

types of client firm served:

Authorised Professional Persons
Collective Investments Funds
Corporate Finance Firms
Discretionary fund managers
IFA (incl IFA divisions of financial institutions)
Institutional investment management
Insurance Brokers - General
Insurance Brokers - Pure Protection Products
Money Service Businesses
Mortgage Brokers
Payments Services Institutions
Pension Scheme Operator/Provider
Private Client investment management
Restricted financial advisers
Retail investment management
SIPP providers

services offered:

Advice pre regulatory risk assessment or supervision visit
Authorisation -FCA
Client Assets
Complaints Handling Reviews
Compliance advice
Compliance Support
Compliance Training
Documentation
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