OUR SERVICES

At Compliance Matters UK Limited we provide experienced professional compliance and regulatory services to UK FCA & PRA authorised and regulated firms.

We take the time to understand your needs and work with you to find the best solution or resolution to your enquiry, by  providing a bespoke and competitive service.

 

Below is a list of the typical services we provide to our clients. If you have questions about these or any other services please contact us.

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New Business Monitoring & File Review

As a regulated firm, we can help ensure that you maintain stringent reviews and controls for monitoring new clients.

In Meeting

Complaints

Handling

We are able to handle complaints made against your firm and advice given to a client from their previous adviser.

Conference Meeting

Training &

Competence

We offer a comprehensive T&C service to review your scheme, and recommend changes and enhancements.

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Client Assets &

Client Money

We can support your firm if you have permission to hold client money by providing annual CASS Resolution Pack reviews.

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General Compliance Support

We provide continuous support through any combination of on-site visits, telephone and email.

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Resource

Library

Access our free online resource library and download a range of guides on regulatory and compliance topics.

READ OUR BLOG

FCA NEWS & ADVICE

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