Compliance Support Service

Some firms find they are sufficiently experienced to manage their compliance duties on a day-to-day basis. Such firms are suited to having an annual health check undertaken as opposed to periodic compliance reviews and support.

However, for those firms that do not have the in-house expertise, we can ensure that they fully comply with all the FCA Regulations.

Depending on the size of the firm and regulatory scope, we would conduct either quarterly or monthly Compliance Reviews. Our fees for On-going Compliance Support start at £1250 +VAT per month. This includes a quarterly compliance review, ongoing compliance support via phone and email, periodic reviews of all compliance procedures and completion of all FCA financial and non-financial filings via RegData.

Annual Health Check

Our fees start at £3,495 + VAT. This includes a comprehensive risk-based review and report on the firm’s compliance infrastructure, encompassing manuals, policies and procedures, client files, systems and controls, and risk management. Updated compliance infrastructure then provided as required.

For a free no-obligation quote please call us on 0203 405 7415.

Alternatively, you can send an e-mail to info@citycapital.uk.com

Send an enquiry

Company Address: 7 Grosvenor Gardens, London, SW1W 0BD, United Kingdom

Contact Details: info@citycapital.uk.com | 0203 405 7416

City Capital Consulting is a trading name of City Capital Consulting Limited. Registered in England number 05877857, VAT Number: GB887933945.

City Capital Consulting is registered with the Information Commissioner’s Office - Registration number: ZA339128

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