Consumer protection is at the heart of the FCA regulations and for Wealth Managers this has resulted in greater regulatory scrutiny on appropriateness and suitability as well as thematic reviews into specific product types. 

Compliancy Services’ experienced Wealth Management team can help you interpret the regulations, using our in-depth knowledge to simplify complex regulations. Our practical, effective advice helps you put in place the appropriate compliance regimes for your business model and support your growth. We can advise on liquidity, capital and other prudential obligations, whilst keeping a sharp eye on the regulatory horizon.

  • We offer compliance consultancy and risk management outsourcing

  • Our services are used by a broad range of Wealth Management firms, from newly set up to established, and many take advantage of our tailored retainer services

  • We can assess your third party firm dependencies and in relation to outsourced services such as dealing, custody, transaction reporting and product manufacturing

  • We help you manage your financial crime prevention obligations

  • We offer advice on complying with MiFID II, including financial inducement rules and help you manage conflicts of interest, deliver best execution and comply with market abuse regulation

  • We offer a Conduct of Business Healthcheck to ensure your systems, controls, policies and procedures meet your regulatory obligations

  • Clients enjoy the use of our regtech resources, including our client portal and e-learning platform, to support compliance management and training

Our consultants work closely with you to get to the core of your business model and truly understand all your compliance needs, so you can concentrate on growing your business.

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Appointed Representatives

RegTech powered service to onboard and monitor ARs, providing better visibility and control and evidencing FCA compliance
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FCA Training

E-learning, classroom training and board briefings to help firms meet FCA Training and Competence obligations
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Wealth Management firms will need to implement The Senior Managers and Certification Regime by 9 December 2019
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The exceptional client outcomes and service experiences we deliver are the result of a diverse and inclusive team that set high standards, pull together to make it happen and never settle for the status quo. 


See our client testimonials

We are extremely pleased at how simple you made the process, the speed with which you responded to questions and your professionalism and friendliness. We recommend you to everyone and hope you will look after our compliance needs for years to come.”

Terry McDowell
A Class Insurance Solutions