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We can conduct independent reviews, the scope & topics depend on the firm, their risks and their needs. From short sharp, high-level reviews, to comprehensive audits where we “Go under the bonnet”.
We help firms stay on track and keep safe; we identify gaps, room for improvement and help you (and your board) understand your compliance status. We are your trusted third line of defence.
It can be challenging to meet the rules & guidance under the Financial Conduct Authority; if it’s not written down it’s as if it didn’t happen.
What you do should not just be for the FCA; it is about your business, efficiencies, continued growth and success.
Our Senior Management Team Challenge sessions give a taste of the type of questioning and challenge you would get from a regulator, which is good business practice. The benefits can be business improvement, people development, increased understanding, building resilience etc.
Another one of favourite phrases in the compliance world is “you don’t know, what you don’t know” – this could land firms in hot water.
We keep firms up to date with what’s coming the track, how firms will be affected and what they need to do.
The regulatory landscape is constantly evolving, with significant changes already lined up for 2026. Keeping pace with requirements is demanding, especially when you are also running a business.
Between managing staff and customers, completing FCA returns, preparing for insurer or third-party audits, delivering training, and maintaining outcomes monitoring and quality assurance, compliance can quickly become overwhelming.
As your business grows, regulation shifts and the market moves with it. Standing still is not an option. Firms need a strong, embedded compliance culture that supports growth, protects the business, and allows people to do their jobs with confidence.
That’s where we come in. We’ll help you build compliance that works for your business — not against it.
