Client Types: Investment Firms,
Mortgage Brokers, General Insurance Brokers, Venture Capital Firms,
Solicitor Asset Managers
Description: Frequency
driven risk-based compliance monitoring service
Billing Frequencies: Monthly.
Quarterly or Annually depending on contract type
Coverage: All FSA regulated
activities for Investment Firms, Mortgage Brokers, General Insurance
Brokers, Venture Capital Firms, Solicitor Asset Managers
Lead Managers: Gordon McMurray,
Graham Middlemist
and Brian Pitcairn
