Advisory

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Although your firm may be directly authorised and you have responsibility for your compliance function it is often helpful to speak to an outside expert. The field of financial services regulation is rapidly evolving and Thistle will ensure that you are kept in touch with the latest developments and their possible impact on your firm.

Many of our clients find it invaluable to talk to Thistle Initiatives for input and advice on everything from strategic planning to helping with compliance training. Whether it’s a simple sense check or advice on a specific compliance issue – our skilled and experienced staff will be able to help add value to your business, when and where you need it. We are happy to work on either a retainer basis or to advise on a particular issue for a one off fee.

Our Financial Services team provides advice to a large number of FCA regulated clients, including securities and futures firms, banks, investment management firms, financial advisers and insurance intermediaries.

Thistle Initiatives can assist with providing technical advice in respect of the following:

  •  • FCA Applications
  •  • FCA Rules and Regulations
  •  • Compliance Monitoring Plans
  •  • FCA Compliance Health Checks
  •  • Risks Assessments (Including ICAAP, Liquidity Reporting and Stress Testing)
  •  • FCA Enforcement Action (Including Skilled Persons Reports)
  •   Training & Competence Suitability Assessments

If you would like further information on how Thistle can help you, please contact us on 020 7436 0630 or email us on info@thistleinitiatives.co.uk

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