Who We Work With

From independent to restricted firms, financial advisers to mortgage and insurance brokers, sole traders to large, multi-adviser firms, we provide specialist support to a wide variety of businesses.

Our clients are typically authorised directly by the FCA, although there are occasions when members of networks use our services.

The size of your business is irrelevant to us, but mindset is crucial. We work most effectively when our clients put compliance at the heart of their business and understand the long term financial benefits of doing so.

What type of business are you?

Start-up advisory firms

Starting your own business is daunting at the best of times. Throw in the authorisation process and it becomes even more challenging.

We are experienced in helping new start businesses obtain FCA authorisation. But, that’s only half the job, we will also work with you to ensure the correct procedures and processes are put in place, allowing you to capitalise on a great start to your business.

Existing financial advisory practices

There are many reasons why an existing business might retain our services.

Perhaps you’ve always carried out the role yourself, but now feel you need some assistance. You may already use a third party to assist you with your compliance obligations, but feel that now is time for a change.

You might even be struggling to keep up with the regulatory burden and have fallen behind.

Existing mortgage brokers

Mortgage advisers have faced a tough time since the credit crunch and the regulatory burden is getting heavier.

Combine the recent compliance changes with a fast-moving housing market and mortgage advisers face a unique combination of challenges.

Whether you have used a compliance consultant before or this is a new option you would like to consider, we are always happy to have a chat.