compliance consultant

GAP Analysis and Project Implementation
The FSA regularly change their rules and regulations and using a compliance consultant is a simple and cost effective way of assisting you in identifying what changes are required and how to implement them within your business. 

 

We have undertaken many GAP Analysis for firms, resulting in overseeing or creating a Project Plan to implement the various changes required.    These have included:

-  Treating Customers Fairly
-  FSA authorisation
-  Senior Management Arrangements Systems & Controls (SYSC)
-  Complaints
-  Markets in Financial Instruments Directive (MiFID)
-  New COBS and new ICOBS
-  Passporting

With the Retail Distribution Review entering its implementation phase, many businesses will benefit from this service.
  Compliance Home Compliance Services GAP Analysis and Project Implementation

FSA Compliance & Regulatory Financial Consulting, from Retail Banking to Insurance Intermediaries

Our website is designed to provide you with information about us and the services we offer related to FSA compliance, financial regulations and regulatory compliance.  Please contact us on telephone number above or email us directly to discuss your specific requirements. Our Services include

Financial Regulation Skilled Person Reports
 FSA Regulation
Compliance Training Financial Compliance FSA Compliance
Money Laundering Regulations
 Banking Compliance
 FSA Authorisation
Compliance Consulting Regulatory Compliance Compliance Regulations
Compliance Mystery Shopping
 FSA Registration & Authorisation