Getting Started

The FSA has set out a number of suggestions on the process for selecting a compliance consultant.   A copy of their recent paper can be viewed at  http://www.fsa.gov.uk/pages/Doing/Info/IFA/Informed/select/index.shtml.  We will be delighted to answer any questions you may have.

Our consulting process enable clients to agree the scope and price of engagements in a transparent and properly documented manner.

This process is as follows:

• Discussion with prospective client on compliance requirements
• Site visit, where necessary, to determine likely scope of work
• Performance, where relevant, of Initial Review to bottom out critical issues for client (terms agreed in writing)
• Compilation and agreement of formalised project letter setting our scope, time duration, agreed costs and staff allocated.

Work may be billed in the following ways:

• Full project basis
• On completion of separate elements within a project
• On monthly instalments for monitoring work

What key services can we provide:

• Review of existing compliance structures and documentation
• Preparation of Manuals and Risk-based Monitoring Programmes
• Provision of Training on Anti-Money Laundering or other topics
• Routine Compliance Monitoring or Reviews
• Due diligence on acquisitions or on Third Parties i.e. Custodians
• Authorisation, Enforcement, Investigation or Supervision projects
• Assistance with pre-screening Compliance staff appointments
• Advertising and Publications checking
• Other services of a bespoke nature by arrangement.

Whatever your compliance requirements, we aim to deliver a service which puts you in the driving seat.  Simply different - Simply Compliant!