Our clients come from virtually every area of regulated business. We also have some clients whose main business is not in regulated activities at all, but who may have one or a number of regulated firms within their group structure. We provide hands-on practical advice and support to smaller firms with their everyday compliance needs, and specialist technical expertise for the in-house compliance function of larger firms.
Our input is by no means limited to "compliance support". Many of our clients value the advice and practical help we can give in devising appropriate arrangements to deal with the impact of new regulations on their business, and the independent perspective we can bring to reviews and projects.
We have particular experience in assisting firms and others whose main business is not in financial services who find themselves undertaking regulated activities at the margins; and who need systems and procedures tailored to the particular needs of their wider business but that must also be suitable for the existing, often complex, control framework of a larger organisation. Inevitably the FCA's rules do not always explicitly cater for the particular needs of such "secondary" regulated activity, and sometimes a good deal of ingenuity is needed to find a workable solution that won't get in the way of wider business needs. We thrive on such challenges.
In these "sectors" pages you will find some examples of the kind of services we provide to clients in different sectors – both ongoing support and project work. But they are only examples. Whatever your sector, and whatever your requirement, do contact us to discuss how we might help.