K & E Consultants Limited  logo
22 Swanscombe Road
W4 2HQ
T: 0207 993 2985
No. of consultants: 6-8
Geographic area covered:
  • National

K & E Consultants Limited

K&E is a boutique compliance and regulatory consultancy providing bespoke solutions to wealth managers, asset managers, private banks and investment banks.

We cover a wide range of services from guiding firms the authorisation process to providing subsequent ongoing general compliance assistance. We can help implement or prepare for incoming regulatory change or support firms with their day-to-day compliance issues. 

Our talented associates are specialists in a range of areas including Brexit, MiFID 2 and the Senior Managers Regime and have a wealth of experience across the financial services industry, working within the sector, regulating firms and servicing clients

types of client firm served:

  • Banks/Deposit Takers
  • Collective Investments Funds
  • Consumer Credit Providers
  • Custodians/Depositaries
  • Discretionary fund managers
  • High Value Dealers
  • IFA (incl IFA divisions of financial institutions)
  • Institutional investment management
  • Investment Banks
  • Mortgage Lenders/Administrators
  • Multi lateral trading facility
  • Private Client investment management
  • Restricted financial advisers
  • Retail investment management
  • Secondary Intermediaries
  • Securities and Futures firms
  • SIPP providers
  • Stockbrokers
  • Third party product providers

services offered:

  • Authorisation -FCA
  • Client Assets
  • Complaints Handling Reviews
  • Compliance advice
  • Compliance Support
  • Compliance Training
  • Due Diligence
  • Enforcement Action - AML and Payment Services
  • Enforcement Action - Financial Services
  • File Review
  • Money Laundering/Financial Crime Advice and Reviews
  • Regulatory Returns Assistance
  • Regulatory Updates