New to Regulation

  • Senior Management and Approved Person training
  • Introduction to regulatory requirements
  • Financial Conduct Authority application support
  • Introduction to regulatory 'umbrellas' for Appointed Representative Status
  • Creating and maintaining a regulated entity
  • Regulatory compliance and monitoring support
  • Meeting customer data and client money requirements

With thirty years of operating within financial services regulated environments, we support a range of clients from telecom, not for profit and energy sectors in applying for, and operating within, FCA and similar regulated environments.