Specialist Compliance Services

Clients and Services

Swaines offer strategic input and practical assistance to a wide range of firms regarding their compliance needs:

 

Our clients

• Fund managers
• Discretionary managers
• Networks
• IFA firms and specialised pension transfer firms
• Mortgage brokerages
• General insurance brokerages
• Mergers and acquisitions – buyers and sellers
• SIPP providers and advisers

 

High level compliance services  

• Due diligence – mergers and acquisitions
• Pre mergers and acquisitions health check for sellers
• Solutions to complex compliance matters
• Preparatory and ongoing services to meet RDR requirements 2012
• Section 166 Skilled Person work
• Part IV Permissions Applications for FSA approval of new firms
• Corporate governance evaluations
• Strategic audits and investigations
• Mis-selling reviews
• Mock FSA arrow visits
• Attendance of FSA visits and meetings
• Training of FSA registered individuals and advisers
• Client asset and money audits
• Vetting of promotional materials

General services

• General compliance services – Outsource, Regular Monitoring, Piecemeal and online services
• On site, off site and online client transaction checks
• FSA Health checks
• Money Laundering
• Monthly compliance bulletins containing salient compliance information
• Stand in for absent compliance staff

To be or not to be an….Appointed Representative >

Contact us now for help and advice by clicking here Swaines contact page >