A starting point can often be a simple health check where we can assess your needs and the key areas that you need to address. This could be part of a broad strategy as wide ranging as helping you to manage your overall compliance solution or a very specific tailored solution to a particular issue.

Such solutions could be as focused as undertaking an audit of your existing compliance resource”) or offering detailed advice on a particular technical aspect of the FCA’s rules and regulations.

We aim to build up a detailed understanding of our client’s business model enabling us to be proactive in our approach. We look to add value to your firm; this means as a specialist we aim to use our knowledge and experience to help you to manage your firm in a compliant manner and where possible save you time and money.

Thistle advises a wide range of clients including financial advisers, insurance intermediaries, stock/derivative brokers, corporate finance and Unregulated Collective Investment Schemes (UCIS) distributors.

Compliance solutions include:

• Advisory
• Anti-Laundering
• Manuals
• Capital adequacy
• Monitoring
• Diligence
• Training