the DIRECTORY
2nd Floor
10 Arthur Street
London
EC4R 9AY
T: 020 7220 9070
F: 020 7623 9307
E:
www.fmconsult.co.uk
No. of consultants: 6-8
Geographic area covered: UK
  • National

FMConsult

An independent compliance and operational risk consultancy. Providing advice on: corporate authorisations - acquisitions and other changes in control, - variations of permission - passporting, fund structuring and domicile - fund establishment and documentation - compliance monitoring programmed advice and audit - training and competence - training requirement surveys - training programme development and delivery - ongoing compliance advice - risk management systems advice, risk reviews - ICAAP review and development - SYSC documentation oversight process.  governance reviews - pre-FCA visit reviews and SIF training.  Support with Gabriel and ONA as appointed users.

types of client firm served:

  • Collective Investments Funds
  • Company Service Providers
  • Consumer Credit Providers
  • Corporate Finance Firms
  • Custodians/Depositaries
  • Discretionary fund managers
  • Electronic Money Issuers
  • Energy Market Participants
  • IFA (incl IFA divisions of financial institutions)
  • Institutional investment management
  • Insurance Brokers - General
  • Insurance Brokers - Pure Protection Products
  • Investment Banks
  • Money Service Businesses
  • Mortgage Brokers
  • Multi lateral trading facility
  • Payments Services Institutions
  • Private Client investment management
  • Retail investment management
  • Secondary Intermediaries
  • Securities and Futures firms
  • SIPP providers
  • Stockbrokers
  • Third party product 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
  • Enforcement Action - AML and Payment Services
  • Enforcement Action - Financial Services
  • Expert Witness - AML and Payment Services
  • Expert Witness - Financial Services
  • File Review
  • Health Checks
  • Management training & support, Staff training
  • Mis-selling Reviews
  • Money Laundering/Financial Crime Advice and Reviews
  • Payments Services Registration and Compliance
  • Regulatory Returns Assistance
  • Regulatory Updates
  • Shadow s.166 reviews

Services to other firms:

  • Locum/Mentoring/Buddying
  • Temporary Consultants