Training – helping individuals within the firm achieve their potential and maintain understanding of technical information and regulatory requirements. Helping you to create, implement and monitor a Training and Competence scheme that works for you and your business not a tick box exercise that detracts your attention. Ensuring directors, partners and managers receive the support they need to discharge their duties in line with FCA expectations.
Financial promotions – the assistance you need to create an effective and compliant marketing strategy. Specifically our resources can help you in drafting, assessing and monitoring the effectiveness of your firm’s financial promotions material. We can also introduce specialists where needed in areas such as social media.
Mock FCA visits – while we can’t deal with the regulators in your place we can ask you the right questions so that issues can be identified and the impact mitigated. We can help at various stages such as pre-visit preparation, post-visit remedial work or “skilled-persons” (S.166 FSMA) projects where required or throughout all interactions with the Financial Conduct Authority.
Regulatory reporting – we recognise that time with your clients is critical so we can assist you in ensuring that your reporting is on time and accurate. We can provide reassurance through carrying out regular audits, ensuring the data you record and report is both appropriate and accurate.
Advisory – we offer both an on-going consultancy service with monthly, quarterly, half-yearly or annual programs tailored to your firm’s needs or one-off project based solutions. Firms on the retainer basis will also have access to our monthly newsletter.