Regulatory Practice

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FSA Compliance and Regulatory Consulting Services

Resources Compliance is a specialist regulatory and compliance practice, serving the whole of the financial services sector, investment managers and advisers, banks, product providers, insurance and mortgage brokers and other financial institutions in the UK and throughout Europe. Our specialist team of regulatory consultants has a wide range of experience and expertise covering the complete spectrum of financial services regulation and compliance.

We provide a full range of services covering all aspects of FSA related matters ranging from the higher level Governance Risk & Compliance (GRC) issues Compliance consultants meeting associated with ARROW reviews, Skilled Persons (s166) Reports, TCF issues and Expert Witness Reports to the more granular day to day requirements of File and Past Business Reviews, Healthchecks, Training & Competence, and Compliance Support.

For the individual or firm contemplating the issues that may arise from the FSA Retail Distribution Review (RDR) we can provide practical guidance and for a firm contemplating FSA authorisation we can project manage their FSA Application. We also support firms on specific regulatory areas such as preparation of ICAAPS and responding to industry/regulatory surveys.

"Research and innovation are the drivers of our business. On behalf of clients, we constantly keep ahead of fast changing regulation, identify areas for improvement, suggest better ways of working and implement procedures to leave you to concentrate upon running your business."