Compliance and Training Solutions Limited (CATS)

Keeping up to date with your regulatory and Training & Competence requirements can be a struggle in this ever changing world that is the financial services industry.  Even if you use a large service provider as a compliance resource, it can still take time to research, investigate, implement  and monitor the procedures they suggest .  Often the procedures need to be adapted to make it more relevant to your firm.

This is where CATS can help you!

CATS interprets regulatory guidance that is applicable to your firm.  CATS can then help to implement procedures relevant and specific to you firm. or adapt/ update existing procedures when necessary  This relieves time and pressure from you, leaving you to do what you do best - advise your clients.  It also provides you with reassurance that your firm uses competent and experienced compliance consultants who often become integral to the firm.

CATS specialises in assisting small IFA firms in meeting their compliance requirements regardless of whether a larger service firm sits in the back ground or not.  Our client firms advise on investments, pensions, protection and mortgages including lifetime mortgages.  We do not operate in the field of discretionary management or general insurance.