Regulatory Consultancy

We believe that in order for us to provide you with high quality regulatory support we need to understand the wider industry and how your business works. That is why our team of business consultants are experts in both the regulatory environment but also on broader areas of financial planning.

Typical areas that our business consultants will provide support include:

  • Regulatory risk assessments and mitigation plans
  • Client proposition development
  • Centralised investment process development
  • Due diligence exercises for acquisitions
  • Training and competence support including supervisor resource
  • Advice and assistance on FCA applications and variations of permissions

All our partner firms require different support at different times of their business life – we are equipped to support and assist them at any stage.