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WELCOME

Compliance Matters is a niche consultancy providing bespoke compliance advisory services to Financial Conduct Authority (FCA) and Prudential Regulatory Authority (PRA) regulated firms.  

Compliance is an important and essential element of running your business.  We understand that finding the right solutions for your business that are tailored to the way you are building your proposition is the key to developing good relationships.

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Our core sectors of expertise are in providing professional and bespoke compliance services, including; New Business Monitoring; Complaints Handling, Training and Competence; Client Assets and Money; and General Compliance Support

Find out more about how we can support your business...

How can we help you?

NEW BUSINESS MONITORING & FILE REVIEW

COMPLAINTS

HANDLING

TRAINING & 

COMPETENCE

CLIENT ASSETS &

CLIENT MONEY

General Compliance Support

Resource Library

We provide general support and guidance including:

  • preparing applications to the FCA for controlled function holders;

  • assisting the firm prepare for a regulatory visit;

  • ensuring T&C records are accurate and up to date and;

  • financial promotion reviews.

At Compliance Matters, our aim is to advise and support FCA & PRA regulated firms by providing downloadable resources such as briefing documents, fact sheets and guides to help you maintain a greater understanding of the financial services market and any regulatory changes that may affect your firm and employees.

Read our latest news articles:

Awards & Recognitions

We are delighed to announce that our Chief Executive, Ian Ashleigh, has been invited to be a judge at the Complaint Handling Awards taking place in London on 22nd February 2018.  These prestigious awards are now a feature of the business calendar and attract entires from some of the Country's largest businesses.  The awards recoginse businesses whose customer service exceeds best practice and strives for excellence.  Being invited to be a member of the judging panel refelcts the standards we set ourselves at Compliance Matters UK Limited.

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Fellow of the Transparency Task Force:

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Helping to protect consumers’ financial interests by reforming financial services, so the public get a better deal; and trustworthiness and confidence can be restored.

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