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, bi-annual or monthly compliance reviews.
Our fees for on-going compliance support start from as little as £800 +VAT per month for bi-annual reviews. This includes ad-hoc compliance support via phone and email, periodic reviews, all compliance procedures and completion of all FCA return
Annual Health Check
Our fees start at £3,495 + VAT. This encompasses a risk-based review and report on the firm’s compliance infrastructure: manuals, policies and procedures, client files, systems and controls and risk management. Updated compliance infrastructure is then provided as required.
For a free no-obligation quote please call us on 0203 405 7416. Alternatively, you can send an e-mail to info@citycapital.uk.com