We provide a full range of consultancy advice, reviews and compliance support services to firms who have been regulated by the Financial Services Authority (FSA), now the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA), and others, including entities seeking authorisation and firms and individuals who are uncertain about whether their activities need to be regulated.
We advise financial services clients small and large and have particular experience in helping firms whose regulated activities are secondary to their main business. We also advise firms in sectors which are not regulated but which nevertheless are affected by regulatory requirements, particularly relating to money laundering, financial crime, and eMoney.
Regulation is constantly evolving and with the advent of the new regulators, the FCA and the PRA, firms need to keep up with the changes and new initiatives. On our Themes pages you will find information about the latest hot topics and themes and the targeted help we can offer clients to keep them abreast of new developments that are relevant specifically to them. We regularly run seminars to help firms with the practicalities of implementing regulatory change.
Our service is founded on the skills and expertise of our people. Our senior management has extensive compliance and regulatory experience, much of it gained in the FSA or predecessor organisations, in "Big Four" consultancies or in regulated firms, and we have strong analytical and communication skills. Our aim is to apply our experience, knowledge and skills to producing comprehensible and workable compliance solutions, tailored to the real-life business needs of our clients.
Increasingly UK regulatory requirements are dictated at the European level and this requires us to keep a close eye on European developments. We follow the progress of the European financial services directives so that we can highlight potential issues to our clients well in advance. Many of our clients have international operations and we have strong links with a number of consultancies in other jurisdictions, particularly the US. This enables us to provide a joined up service that encompasses more than one regulatory regime.
Don't hesitate to contact us to discuss how we could help you.