Royce Compliance Consultancy

Royce Compliance Consultancy (RCC) is an independent consultancy, specialising in providing bespoke FCA compliance advice and solutions for financial firms.

We help financial firms to:

Obtain FCA authorisation or varying their existing permissions
Provide full bespoke compliance support and advice for businesses including health checks
Operate an effective outsourced compliance regime for smaller businesses
Manage relationships with the Financial Conduct Authority and assist with the firm’s regulatory reporting requirements
Detailed and independent due diligence for businesses in respect of mergers and acquisitions

This consultancy has a wealth of knowledge on practical ways to deal with all the compliance issues that arise for firms.

types of client firm served:

Discretionary fund managers
IFA (incl IFA divisions of financial institutions)
Insurance Brokers - General
Insurers
Investment Banks
Mortgage Lenders/Administrators
Restricted financial advisers
Retail investment management
Stockbrokers
Third party product providers

services offered:

Authorisation -FCA
Complaints Handling Reviews
Compliance advice
Compliance Support
Compliance Training
Due Diligence
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
Pension Reviews
Regulatory Returns Assistance