Who are we?
Compliance Matters UK Limited is an independent Compliance and Training & Competence consultancy. We have over 20 years experience with financial services including a major building society, direct sales forces small independent financial advisers, a national IFA and an IFA Network.
We specialise in providing Compliance and Training & Competence services in line with the requirement of your firm whether you are a sole practitioner, partnership or limited company.
We can provide an audit of your current systems, a report and recommendations of how to improve your systems where necessary together with ongoing maintenance and supervision of investment and non-investment staff as required by the Financial Services Authority.
We have experience of life and pensions compliance and preparing mortgage brokers and general insurance practitioners for regulation by the Financial Services Authority
Ian Ashleigh Managing Director
Ian’s financial services knowledge has been gained with; a major building society, a direct sales force and directly regulated IFAs as an adviser prior to moving into technical support and compliance with a national IFA and an IFA Network.
He has gained a wealth of experience in respect of financial institutions and the Regulator’s requirements from a Compliance and a Training & Competence viewpoint. He has acquired his experience within the areas of protection, pensions, investment and mortgages, having been Mortgage Code Compliance Officer with a National IFA as well as monitoring new business and acting as advertising officer.
He has recently been assisting General Insurance Brokers prepare for FSA regulation including; completing application forms, setting up procedures and reviewing stationery.
He has an excellent working knowledge of the regulator’s training & competence regime gained by writing induction courses for an IFA Network and delivering training and development for its members.
