the DIRECTORY
1 Mill Court
Mill Lane
Newbury
Berks
RG14 5RE
T: 01635 35071
E:
www.thefirstfinancial.co.uk
No. of consultants: 2-3
Geographic area covered: UK
  • National

First Financial Consultancy Limited, The

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