« To Financial ServicesFSA Compliance

Introduction

We offer members the following on site compliance services through our partners Alan Thomas and Sturgeon Ventures, two well known and highly respected practitioners in their field:

• Initial Registration

  • All companies operating in financial services have to undergo the process of initial registration.  The procedure can take several months if the relevant documentation is not correct.  Our experience in this area is a valuable aid to all new firms starting up in business and we offer this service to all new members.

• Ongoing Compliance

  • The FSA rulebook runs to 11 volumes - once members gain FSA registration, our compliance consultants are expert at ensuring they comply with all FSA requirements.

• Temporary Authorisation

  • Some members join us ready to develop their business immediately.  We have arrangements with contractors in all sectors to provide temporary authorisations while members prepare their individual FSA applications. This can be of considerable benefit to new businesses by accelerating their speed to market.

• Regulatory Services

  • Regulations are constantly changing.  However, our consultants stay abreast of new developments to ensure they can continue to provide a full and effective compliance service.

« To Financial Services