FSA Compliance

As the regulatory landscape in all industries continually changes, so do the compliance regulations and requirements to stay within industry rules.

The Consulting Consortium prides itself on its compliance services and understanding the impact of these regulations.  We provide comprehensive governance, risk and compliance solutions to help reduce this growing burden for clients, allowing them to establish a sustainable growth environment.  Our services can be made available to you either on site or at our Operations Centre.

·         We have 100% success rate for FSA authorisations

·         We are regularly appointed as skilled persons for S166

·         We have trained the FSA

The TCC team has a wealth of experience in reviewing client processes and procedures and has a proven track record of establishing clear and concise processes that provide clients with a time- and cost-efficient regulatory process.

Any company that is regulated by the FSA can benefit from our experience and our range of compliance solutions.

Our full range of services is:

• Preparation and supervision of regulatory visits

• Strategic advice for product reviews or launches

• Remediation and investigative services relating to enforcement by regulators including Skilled Persons Reports and Section 166-168 work;

• Treating Customers Fairly reviews

• FSA authorisation work

• FSA compliance procedures manual

• Money laundering investigations and training support

• Financial capability projects

• Advice regarding FSA investigations and enforcement

• Financial promotions

• Compliance procedures

• Compliance insourcing

• Compliance outsourcing

• Compliance investigations

• Compliance support

Learn more about principle based regulation

To find out how we can help you please contact us on 020 7645 8808 or email info@theconsultingconsortium.com