Seven Compliance

Our affiliated company Seven Compliance offers a wide range of consulting services. Seven has the tools and expertise to help grow your business and ensure you meet all regulatory requirements.

Compliance Consulting

A Partner you can trust

Seven build enduring partnerships with clients offering compliance consulting advice and services on due diligence, KYC, FCA licence applications, change of control, policies and procedures, compliance audits, reporting, SMCR and GDPR. The focus will be on your needs to ensure you remain compliant and kept abreast of current and planned regulations.

Regulatory Reviews

Seven ensures your firm is compliant and your staff are meeting the latest rules and requirements – allowing management to focus on day to day business. They provide firms with constant updates, periodic audits, reporting checks and training. Seven assist with the creation of policies and procedures and ensure regular updates. They also provide assistance with s166 audits.

Operations Strategy

People are the primary resource in any organisation, so planning a company’s future means taking into account the needs and expectations of staff. Seven introduce a number of strategies to understand your firm’s culture and operations, and when planning for the future, keeping the present in view. They provide advice on forthcoming regulation and how it will impact your firm and operational model. Seven will monitor and review your systems and provide advice on the most suitable and efficient internal structures – minimising risk and saving you time and money. Our approach is to help technology – help you.

FCA Licence Applications

Whether you are applying for a new licence, enhancing an existing licence, taking on new partners or changing ownership, Seven can assist you throughout the process. They provide full assistance with business plans, capital requirements and staff. FCA applications can be complex and, without the right advice, an application may be rejected. Let their experience and expertise help you.

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