Compliance Advisory Service

Our customers - businesses regulated by the Financial Services Authority - have been asking if we offer a compliance service to complement our regulatory advice. So we've listened! We've come up with a service with a few vital differences which our clients tell us they value…

Unique not uniform - Our solutions are tailored to each individual client. We do not offer a rigid compliance system but instead we offer a bespoke solution for each and every business.

Cost competitive - Our low cost base in Birmingham enables us to offer extremely competitive rates to businesses across the UK. The annual fee for our compliance service based on clients' turnover.

Robust not roll-over - Our unique position as lawyers means that we frequently challenge the FSA. Our compliance advice reflects that experience.

What's included? Our compliance service includes an initial and annual on-site audit (whole day), TCF implementation; documentation delivery and updates; file reviews; management information generation and supervisor support including T&C role plays. Obviously as a substantial law firm we are also extremely well placed to advise on any matters arising.

Email Mark Dennison or call 0121 631 5376 for more information.

November 2008 - COBS / NEWCOB transitional period ends: Principles Based Regulation (PBR) will apply from 1 November 2008. Rules are out, principles are in and firm's procedures need to be updated accordingly. Register here to download our free COBS / NEWCOB guide.