Financial Compliance Services | East Grinstead

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.

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

New Business Monitoring & File Review

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

Complaints

Handling

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

Training &

Competence

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

Client Assets &

Client Money

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

General Compliance Support

Confident businessman waiting for an int

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

OUR SERVICES

New Business Monitoring & File Review

Complaints

Handling

Training &

Competence

Client Assets &

Client Money

General Compliance Support

Resource

Library

READ OUR BLOG

FCA NEWS & ADVICE

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