Capital Compliance is a compliance and risk management company newly formed in 2021 which provides tailored and bespoke services to directly authorised firms.
Our aim is to work closely with our clients to ensure they are achieving regulatory standards and outcomes.
We have the expertise in helping firms meet their regulatory requirements by creating a compliance framework and governance structure that covers all of the firm’s compliance obligations.
Our clients are small to medium Independent Financial Advisers, Mortgage and Protection advisers.
Onsite & remote compliance meetings
Systems, Controls & Risk Audits
FCA Supervisory Audit support
Creating personalised Compliance Manual & Risk Assessments
Assistance with regulatory returns
Advisory sales process checks
CIP creation & maintenance
Training & Competence Audits & support
Regulatory Updates
Your name
Subject
Your email
Your phone
Your message
Address Suite 17, Essex House, Station Road, Essex, England RM14 2SJ, United Kingdom