Royce Compliance Consultancy (RCC) is an independent consultancy, specialising in providing bespoke FCA compliance advice and solutions for financial firms.
We help financial advisory firms, wealth management (both independent and those providing restricted advice) to:
- Become FCA authorised or varying existing permissions
- Provide full bespoke compliance support and advice for businesses
- Full and independent compliance health checks and audits of businesses
- Operate an effective outsourced compliance regime for smaller businesses
- Assist in the operation of a firm’s Training and Competence regime including the recruitment of new advisers and taking them through to competence
- Manage relationships with the Financial Conduct Authority and assist with the firm’s regulatory reporting requirements
- A full service in respect of handling client complaints
- Detailed and independent due diligence for businesses in respect of mergers and acquisitions
- The delivery of regulatory or ad-hoc projects for businesses
- Provision of on-going bespoke compliance support for all types of regulated businesses
This consultancy has a wealth of knowledge on practical ways to deal with all the compliance issues that arise for firms. We can draw on many years of practical experience working within life offices, employee benefit consultancies, IFA practitioners and stockbrokers.