Creating an effective compliance monitoring plan: The four stage approach

Webinar: Mastering compliance monitoring 

We got under the skin of what an effective framework looks like, and how to either enhance what you have, or build from the ground up.

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Firms feeling the heat of the FCA's data-led approach

Now 3 years into the initiative, firms are feeling the impact with a greater volume and more precise questions being asked by the regulator.

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Explore our compliance services

We've have been helping financial services firms for over 25 years. We track new regulations, give you peace of mind 

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Mike Harrison, Consulting Lead 

Mike is responsible for project delivery and quality across our clients in sectors including wealth management, financial advice, consumer credit, mortgages and insurance. A seasoned regulatory consultant, he has over 25 years' experience in financial services regulation and has worked for the 'big 4' and two of the UK's leading independent consulting firms.
Get in touch with Mike

Mark Spiers, Partner

Mark has over 20 years’ experience, and is a hands-on practitioner who specialises in the practical interpretation of the rules in a commercial environment. He has significant experience in handling regulatory intervention including thematic reviews and potential enforcement action
Get in touch with Mark