City Capital Consulting Limited (“City”) is a specialist provider of compliance consultancy services to FCA regulated firms including FCA Authorisation & FCA Licence Services. Our clients range from global banks to small hedge fund managers in the UK and Europe.

FCA Authorisation FCA Licence Obtain FCA Authorisation

Compliance Consultants

Compliance Consultancy firms have a tendency not to disclose their consultancy fees until after they have had an initial meeting with prospective clients. At City we have adopted a different approach. Our fees are agreed at outset and the cost for our standard services are listed below. This open and transparent approach has been received well by our clients.

FCA Authorization FCA Authorisation Compliance Consultants FCA Licence

If you would like a quote for a specific service (e.g. authorisation application, staff training or production of compliance procedures) please contact us.

SILVER SERVICE – £9,995 + VAT

This service offers a full on-site visit twice yearly (every six months). A compliance audit will be undertaken focusing on the following areas: conduct of business, money laundering, systems and controls, training and competence, client assets, market conduct, complaints and compliance monitoring.

The compliance audit will review the following (list is not exhaustive and will be tailored to firm’s activities):

Firm’s procedures (compliance manual, AML procedures) and, if required, procedures will be amended/updated

  • Advice Process / Selection of client files
  • Conflicts of interest
  • TCF
  • Research
  • Trading activities
  • Personal account dealing
  • Scope of Permissions Notice
  • Financial Returns
  • Complaints
  • Approved persons register
  • Financial promotions
  • Breaches register
  • Client money/assets
  • Impact of EU Directives
  • Senior Management Arrangement, Systems & Controls
  • Compliance Monitoring
  • Training & Competence
  • Market Conduct

On completion of the audit the firm will be issued with a detailed report documenting the audit findings. Furthermore, the report will include suggested corrective action (where appropriate) and recommendations.

In addition to the above the firm will receive an ongoing compliance consultancy support service. So, if you have a query, call us and we will resolve it. This will ensure that any compliance issues are resolved quickly.

GOLD SERVICE – £14,995 + VAT

Firm is visited every quarter (4 on-site visits per year)

PLATINUM SERVICE – £39,995 + VAT

Firm is visited monthly (12 on-site visits per year).

COMPLIANCE HEALTH CHECK – £3,495 + VAT

A one day compliance audit is undertaken. Following the audit a detailed report is issued. Please note that the compliance health check does not include the ongoing compliance support service.