Compliance Services

For us, regulation is not dull. Following the FCA’s Principles for Business is something that guides all our actions and processes. However, for those less interested in regulation, operating in a heavily regulated industry can be confusing, costly and time consuming.

We provide a range of compliance services, both to those seeking to become regulated and firms that are already registered with the FCA.

Particularly when you are in the early stages of growing a business, being directly FCA regulated is not necessarily the best solution. A better approach and one that institutional investors such as the British Business Bank have shown they are happy with is to become an Appointed Representative (‘AR’). An AR uses our regulatory ‘umbrella’ to conduct activities, in accordance with the FCA Principles for Business.

Looking to become an Appointed Representative, get directly authorised by the FCA or think our compliance consultants might be able to help keep your business on track?

Contact us

See our other services, including: