Compliance Consultant

Updates

Posted on Jun 20, 2021

FCA Principles for Business

Posted on Jun 17, 2021

Mapping Your Regulatory Territory

Posted on Jun 16, 2021

UK Cryptoassets/Crypto Currency, Crypto traders - If your application was of a poor standard (as many apparently are) there will be delays. https://wp.me/p7OMfd-4vM #cryptocurrency #cryptoassets #cryptocurrencies #amld5 #amlcompliance #Fca

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Posted on Jun 12, 2021

FCA Decline/Reject CryptoAsset Firms
If Your Cryptocurrency Application With The FCA Has Stalled, We Can Get You Back On Track - We Specialise in #UK FCA Authorisations and Registrations. https://wp.me/p7OMfd-4vM Call us on+44 (0) 207 907 1434 or email info@complianceconsultant.org #cryptocurrenc...

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Posted on Jun 12, 2021

Regulatory Complaints Assessment Service
Have You Seen Our Independent Complaints Handling Brochure? https://www.complianceconsultant.org/wp-content/uploads/2021/01/Compliance-Consultant-Independent-Complaints-Handling.pdf #regulatorycomplaints #fcacomplaints #complainthandling

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Posted on May 18, 2021

Brief Guide Series – The UK Regulatory Environment

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Posted on May 18, 2021

All too often it appears we are selling something, but this message is not the case. We have a number of information posts on our website that prove popular with visitors. The page describing the Importance of Good MI is a favourite for many and can be found at https://wp.me/p7OMfd-4ww.

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Posted on May 3, 2021

Compliance Answers 1 – Compliance Management Solutions

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Posted on May 3, 2021

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Testimonials

6 months ago

Huge thanks to Lee and Mo on helping us with our FCA application. They were able to assist with all aspects, from preparing the application to responding to FCA queries in a professional and efficient manner. Would highly recommend!

- Danny N

7 months ago

Lee and Sue are remarkable at what they do, I feel completely at ease with their expertise. Compliance is in my opinion the building blocks of any good business, with Compliance Consultant onboard, i have no doubt our business will grow

- Terry M

11 months ago

We began to use Lee and Jenny at the start of 2020 - I have found them excellent to deal with. Lee and his team are helpful, responsive and clearly knowledgeable in their subjects. The result is they they provide confidence and support which I trust. Look forward to continuing working with them.

- James S

Compliance Risk Management Specialists

We offer bespoke and specific fca compliance projects for clients who need something that is regulatory compliant and not "off-the-shelf". We also have a S166 response service at http://s166.co.uk.

Compliance risk management is vital and preparation for new regulation such as GDPR, MiFID II, and Senior Managers and Certification Regime (SMCR) etc

We also have a number of products available for download from governance to rules mapping, AML, KYC, MLD4 and financial crime, through to complaints management, MiFID II and GDPR.