Compliance Services for FCA Regulated Firms
Personal and professional support for you and your business. Our regulatory experts give you a totally bespoke service for your total piece of mind
How we work with you
At Oak Compliance, we specialise in providing compliance services and support to small and medium sized FCA regulated firms. Our approach ensures that your firm can meet its regulatory standards in the most pragmatic way possible. With our regulatory history and backgrounds, we can help you navigate the complex regulatory landscape with ease.
How we support you
We offer a comprehensive range of compliance services and support . Our experts will work closely with your firm and can assist you with:
All FCA returns
Implementing regulatory changes
File checks
Creating policies and procedures
You will also have access to our:
Regular newsletters
Experts as and when you need us
Ancillary Services
Running a successful business can place a lot of demands on the firm. We have solutions for, and can help, with:
PII cover
AML checks
Financial planning software for risk profiling and research
CPD
Overseas clients
Additional Compliance support
We can support you in any of the following areas:
New FCA firm application
Variation of permission
Change in control
Inclusion on your investment committee
Acquisition of a business or the sale of your business
Our Charges
Running a compliant business with all the regulatory costs is not cheap. We understand this and we want to ensure you get fair value from your compliance support provider.
We can offer you a core level of service or personalise this further to meet your needs. The service will always be personal to you and at an extremely competitive cost.
Contact us for more details on our costs and for a chat about what we do and how we can help and support you.
Compliance made simple
Contact Us
Oak Compliance Consultancy Ltd