the DIRECTORY
Down Park Lodge
Sandy Lane
Crawley Down
Crawley
West Sussex
RH10 4HU
T: 01342 717845 and 07713804801
E:
www.malcolmleeconsulting.co.uk
No. of consultants: Sole
Geographic area covered:
  • National

Malcolm Lee Consulting

Compliance consultant based in Surrey providing risk management services to professional and financial services firms in connection with FCA authorisation, DPB authorisation and ISO standards.

types of client firm served:

  • Authorised Professional Persons
  • IFA (incl IFA divisions of financial institutions)
  • Institutional investment management
  • Insurance Brokers - General
  • Insurance Brokers - Pure Protection Products

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
  • File Review
  • Health Checks
  • Money Laundering/Financial Crime Advice and Reviews
  • Regulatory Returns Assistance
  • Regulatory Updates