5 Bermondsey Exchange, 179-181 Bermondsey St, London SE1 3UW  Tel: 020 7357 6866
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Welcome to Swaines

We have assembled a formidable group of highly qualified, experienced, competent and personable compliance consultants who are committed to providing clients with compliance peace of mind.

A strong compliance infrastructure

  • Enhances the professionalism of a regulated firm

  • Decreases the risk of claims against a regulated firm

  • Ensures that the regulated firm remains beyond reproach from the FSA

Our projects typically include compliance audits and risk assessments, crisis intervention, complaint handling requirements, client transaction investigations, financial promotions vetting, mis-selling reviews, post FSA visit remedial programmes, pre FSA ARROW visit preparation and treating customers fairly initiatives. Please see Services.

FSA dedicated compliance specialists to

Friendly Society Providers : General Insurance Intermediaries : Independent Financial Advisers : Investment Providers : Life and Pension Providers : Mortgage Intermediaries : Mortgage Providers : Multi Tied Intermediaries : Networks : Whole of Market Intermediaries

Specialist FSA compliance services are also available to the financial services divisions of Banks, Building Societies and Credit Card Companies.
 
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