the DIRECTORY
150 Aldersgate Street
London
EC1A 4AB
T: 02073349191
F: 02072483408
E:
www.moorestephens.co.uk
No. of consultants: 9-10
Geographic area covered:
  • National

Moore Stephens LLP

Our award winning Regulatory Consultancy team helps businesses anticipate and adapt in ever changing regulatory climate. We provide consultative problem solving together with core compliance services to meet all the regulatory needs of your business.

We ensure our clients meet the requirements of both UK and European regulation, with the aim to enable clients to embrace regulations and manage the impacts of regulatory change. We strive to be a trusted advisor who can be relied upon to add value, provide challenge and deliver a service which will facilitate you business' sustainable future.

types of client firm served:

  • Authorised Professional Persons
  • Banks/Deposit Takers
  • Building Societies
  • Collective Investments Funds
  • Company Service Providers
  • Consumer Credit Providers
  • Corporate Finance Firms
  • Credit Unions
  • Custodians/Depositaries
  • Discretionary fund managers
  • Electronic Money Issuers
  • Energy Market Participants
  • Friendly Societies
  • High Value Dealers
  • IFA (incl IFA divisions of financial institutions)
  • Institutional investment management
  • Insurance Brokers - General
  • Insurance Brokers - Pure Protection Products
  • Insurers
  • Investment Banks
  • Lead generation firms
  • Lloyds
  • Money Service Businesses
  • Mortgage Brokers
  • Mortgage Lenders/Administrators
  • Multi lateral trading facility
  • Payments Services Institutions
  • Pension Scheme Operator/Provider
  • Private Client investment management
  • Recruitment of Regulatory Staff ( Registered Recruiter)
  • Restricted financial advisers
  • Retail investment management
  • Sale and Rent Back
  • Secondary Intermediaries
  • Securities and Futures firms
  • SIPP providers
  • Stockbrokers
  • System suppliers
  • Third party product providers
  • Trade associations, professional bodies and regulators
  • Travel Insurers
  • Trust Service Providers
  • Wrap Platforms

services offered:

  • Advice pre regulatory risk assessment or supervision visit
  • Authorisation - PRA
  • 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
  • Money Laundering/Financial Crime Advice and Reviews
  • Payments Services Registration and Compliance
  • Regulatory Returns Assistance
  • Regulatory Updates
  • Shadow s.166 reviews