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Compliance Services For Financial Intermediary FirmsGrainger Consulting has unique knowledge and experience relating to Financial Intermediary firms. Financial Intermediary firms can include:
Grainger Consulting is geared to help any of the firms mentioned above. We can provide advice and hands-on assistance with many of the technical and compliance issues relating to product design, distribution, marketing, sales and administration. We have a separate service guide for Financial Planning firms. External Compliance MonitoringWe assist our clients in a very practical way by helping them carry out the regular compliance risk and resource assessments necessary to demonstrate the required level of senior management control of their business. We will then help them to implement appropriate compliance monitoring programmes supplemented by regular external monitoring by Grainger Consulting. This ensures that internal monitoring is robust and provides good quality control. Bulletins And Timely RemindersThe reporting requirements for the FSA and other relevant regulators can be confusing and onerous. We produce a bespoke summary of requirements for each of our clients. We then issue timely reminders to them for each item requiring a report or notification. There is a continuing stream of regulatory material that firms must read and digest in order to ascertain whether it is likely to have an impact upon their business. Grainger Consulting will help by producing regular short, reader friendly bulletins, which summarise issues or news so our clients can decide whether further investigation is required. Additionally we will produce in depth analysis as required for major regulatory developments. Regulatory ConsultancyFirms frequently face business decisions where an incorrect or incomplete grasp of the rules can result in actions that have serious regulatory implications. We will help by being available to attend and contribute to senior management discussions relating to major issues. We will consider the business objective and advise the optimum action to achieve it in a compliant fashion. We frequently help our clients to get key decisions right first time. Liaison With RegulatorsOn a significant number of occasions we assist our clients by handling, on their behalf, discussions or consultations with the FSA and other regulators. Sometimes we are able to do so on a "no names" basis. This enables us to explore issues and clarify what will or will not be acceptable to a regulator. |
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Grainger Consulting, Quantum House, 32 Mellor Road, Cheadle Hulme, Cheshire, SK8 5AU, United Kingdom
Phone 0161 486 1000
E-mail cheadle@compliance.co.uk
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