4 Abbey Gardens
Abbey Street
T: 0844 875 0120
No. of consultants: 11-15
Geographic area covered: UK and Ireland
  • National

Huntswood Advisory Services

Huntswood specialises in governance, risk management and compliance, primarily in the UK financial services sector. Our focus is conduct risk, that is; the way firms are structured, how they operate, the products they develop, and how these products are sold and serviced. The main focus for Advisory Services is the demands on firms as a result of changes in regulation, such as the recent change in Consumer Credit regulation from the Office of Fair Trading (OFT) to Financial Conduct Authority (FCA). Much of our work is ‘stick’ driven, i.e. firms are compelled to undertake the work as a result of regulatory engagement, although increasing customer and media pressure means firms are continually looking to differentiate themselves from the competition by developing the competence and confidence of their leaders and employees.

We uniquely combine regulatory expertise with business improvement and training insight to embed compliant culture in line with the regulator's approach to retail conduct compliance moving forward.

types of client firm served:

  • Banks/Deposit Takers
  • Building Societies
  • Consumer Credit Providers
  • Credit Unions
  • Friendly Societies
  • IFA (incl IFA divisions of financial institutions)
  • Insurance Brokers - General
  • Insurance Brokers - Pure Protection Products
  • Insurers
  • Investment Banks
  • Mortgage Lenders/Administrators
  • Private Client investment management
  • SIPP providers
  • Wrap Platforms

services offered:

  • Authorisation -FCA
  • Complaints Handling Reviews
  • Compliance advice
  • Compliance Support
  • Compliance Training
  • Documentation
  • Due Diligence
  • Enforcement Action - Financial Services
  • Expert Witness - Financial Services
  • File Review
  • Health Checks
  • Management training & support, Staff training
  • Mis-selling Reviews
  • Pension Reviews
  • Regulatory and Examination Training and Coaching
  • Regulatory Updates
  • Skilled Person Panel - Conduct of Business

Services to other firms:

  • Documentation
  • Newsletters
  • Technical Helpdesk
  • Temporary Consultants