We are a small but committed team with offices in East Anglia, and clients based throughout the UK.
Our offering is completely bespoke to you, which allows us to be adapt to whatever it is you need support with. Within this site you will find examples of the many services that we can deliver.
If any of these services are of interest to you, or you feel that you need to work with a firm that can meet your individual requirements, we would love the opportunity to discuss how we can help.
This sets out the process and explains how we like to work.
FCA Compliance Audits
We can conduct a thorough audit on all firms.
FCA Compliance Support
Our experience allows us to assist you in many ways.
FCA Compliance Manual
Bespoke Manuals either written by us or providing guidance.
Various services available for us to assist you in this complicated area.
FCA Training & Competence
Let our experience and expertise help you in this area.
We have a very robust procedure using software designed exclusively for us.
Like our manuals, this can be written for you or we can provide guidance on existing documents.
Martyn’s key roles are in operations and business development.
Martyn loves spending time with his family, especially his Granddaughter, he also is a keen Martial artist and enjoys general keep fit.
When time permits Charlotte is studying for her diploma, as a recent Mum to Pippa, time is a little short.
Gemma has been with CATS since 2014 and is now one of our Managers assisting Mel and Martyn in the development of the business and the team.
Gemma has attained the Diploma qualification
Like Gemma James is also a Manager and help Mel and Martyn in developing the business and the team.
James is a Chartered Financial Planner
Sarah has also worked as a financial adviser for the Chelsea Building Society. Prior to joining CAT’s Sarah was a Complaint’s Account Manager working for HSBC where she gained extensive compliance knowledge.
Sarah has attained the Diploma qualification.
Phil is also at Diploma status.
Fraser is very comfortable working with individual advisers or at firm level with directors, taking a keen interest in getting to know them and their business, in order to provide the best tailored outcomes.
During his time as an IFA he completed his AFPC qualifications between 1997 and 2000 before moving into Sales Management with Towry Law Financial Services. This was followed by a period as Technical Advice Manager for Scottish Widows before moving into T&C and compliance roles with both Tenet and In Partnership.
James started working life in a Bank in Old Broad street, London before moving across to the Building Society world, working in several branches. There was a stint in branch inspection prior to the move to Compliance in 1993 with Bradford & Bingley.
Prior to that, Simon was a Financial Adviser for seven years. When not working, Simon loves to spend time walking his two energetic and lively Flat Coat Retriever dogs and following his favourite football team, Liverpool.
Outside of work, Carole enjoys long walks with the dog and spending time with family and friends.
Carole has also attained the Diploma Status.