Our services are split broadly into three: see below.
We can come to you, you can send your work to us over a secure portal, or we can do both. If we visit you, we don’t expect you to pay our travel expenses or hotel bills.
Services are available on an ad-hoc or retainer basis. Retainer clients get a dedicated consultant allocated to your firm, and you pay only for the time you need. You’ll also get a support desk, so there’s always someone ready to help.
Your own dedicated compliance officer who’s just like a member of your team.
- File reviews (pre- and post-sale)
- Annual regulatory health check (on-site)
- Financial promotion reviews
- Policy and process writing
- T&C support
- Gabriel returns
- Technical queries
Call us today for a chat about our Core service on
0161 979 0726 or email us here.
Paraplanner swamped by work? New MiFID II pre-sale report rules causing additional headaches? Our paraplanning services can help.
- Suitability report writing (including DB reports)
- Strategy report writing
- TVAS completion
Call us today on 0161 979 0726 or email us here to talk about lightening the load for you.
Support (Project work)
We price project work on an ad-hoc basis. Before we start, we’ll discuss your requirements and give you an estimate of costs. Can be fixed-fee or charged hourly.
- FCA applications and variation of permissions
- FCA meetings, preparation, attendance and follow-up
- FCA interaction, thematic reviews, visit support or similar
- Complaint handling (fixed-fee)
- Project planning and support (GDPR, MiFID, SM&CR)
- Due diligence: platform, service providers, or purchase of businesses
- Cyber security advice