the DIRECTORY
Royce Compliance Consultancy  logo
41 Walton Way,
Aylesbury
Buckinhamshire
HP21 7JJ
T: 074 1591 3890
E:
www.roycecc.com
No. of consultants: 2-3
Geographic area covered:
  • National

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