Do you want to offer your clients the option to obtain financing for your products and services? Perhaps you want to set up your own authorised Insurance or Mortgage Brokerage or an Investment Advisory business?
South West Compliance offers a wealth of experience assisting firms with FCA applications as well as providing ongoing compliance support. Our aim is to relieve you of the stress of the application process so that you get on with running your business.
WHAT MAKES US DIFFERENT?
We are a small, regional firm which is staffed by long-experienced professionals. As we operate from our offices in Cornwall, our clients will not incur big city office costs. Our aim is to primarily support businesses within the Cornwall, Devon and Somerset regions.
The business was established on the back of our experience working in authorisations for the FCA’s predecessor, the FSA. This first-hand experience with FCA requirements allows us unique insight into the application and authorisation process. We pride ourselves on providing professional and friendly service for a diverse range of clients such as:
Car dealers
Dentists
Holiday Parks
Finance Brokers
IFAs
Mortgage and Protection Brokers
Golf Clubs
Whatever your business, our team have the expertise to efficiently and competently attend to your authorisation and compliance needs.
ABOUT US
Our history dates back to 2011 when Simon Murray left his position as a Senior Officer with the FSA to set up his own Regulatory Consultancy. Initially, the focus was on assisting Mortgage Lenders in obtaining FCA authorisation, but, with the transfer of Consumer Credit Regulation to the FCA in 2014, the focus of the firm shifted to assisting smaller clients in obtaining a range of Broking and Finance granting permissions.
Several staff members have been added to the team over the years. Today, we are a total of 4 Consultants operating primarily as Ensured Compliance and Financial Compliance. Having relocated to Cornwall in 2019, Simon has set up Southwest Compliance as a sister company.
