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Financial Services Regulation

Telos can mobilise some of the most experienced - and high profile - compliance experts in the financial services industry.

All regulated firms need to consider the difference between being half a step behind - and half a step in front.

Being half a step behind requires the full effort and cost to be compliant - but risks falling foul of the regulators.

Being half a step ahead doesn't cost much more in the short term but saves a huge amount in the medium term, and creates elbow room to integrate compliance into the business efficiently.

It's possible to get half a step ahead by taking the regulators speeches, comments and informal briefings into account, by understanding how the regulator is likely to think - and by talking to us. That's where we operate, and that's where our successful clients are now.

Regulation services

  • Skilled persons reports (s166 and s166A)
  • Relationship with FCA
  • Governance and culture
  • Systems and Controls (SYSC)
  • Conduct of Business
  • Regulated advice
  • Regulatory authorisations
  • Past business reviews and remediation
  • Audit & Post implementation review

Industry sectors

  • Intermediaries
  • SIPPs
  • Mortgages
  • Life, Health and Pensions businesses
  • Wealth Management
  • Building Societies
  • Consumer credit
  • Banking
  • Peer to Peer Lending
Most of our work is confidential in nature so details cannot be published. We are happy to provide more specific information about work we have undertaken.

Let's talk!

Let us know if we can tell you more about our practical experience and the skills we are able to provide.