Why use CATS

We believe that all IFA companies are different which is why we pride ourselves on ensuring we adapt to how you need us to work.

We will always work with you to ensure we achieve that common goal.

Our aim is to be different than any other compliance service you have experienced and provide added value to your business.

Compliance Consultant Due Diligence

Requirement Evidence

Does the proposed 3rd party have the necessary experience to assist you and your firm?

Yes, all consultants have experience with working with directly authorised and network member firms.
What are their qualifications?

Mel is a Chartered Financial Planner and Certified Financial Planner.

Jan is at Diploma Level.

Gemma is at Diploma Level.

Tom is at Diploma Level.

Fraser is at Diploma Level.

James is at Diploma Level

Sarah is at Diploma Level

Phil is at Diploma Level

James Deacon is at Diploma Level

Simon is at Diploma Level

What is their financial services experience?

All consultants have been in the industry for a number of years.

Mel has been in the industry for over 20 years, 16 of which have been within the field of compliance.

Jan has worked at Bradford & Bingley as an IFA and went on to manage a team of advisers. JB then moved to DBS financial management plc where she stayed for 10 years before joining the CATS team.

James has had over 15 years industry experience having worked as an IFA and a paraplanner.

Gemma Has many years experience within Financial Services working within Nat West Managing a team of 20.

Tom has over 25 years experience of the Finance Industry form both sides having previously been an advisor.

Fraser Has over 30 years industry experience, specialising with Complaints.

Sarah has been in the industry for many years and brings a wealth of experience.

Phil has over 18 years experience within the Financial Services Industry, both as an advisor and within Compliance

Simon has over 30 years industry experiance

Individual CV's are available on request.

What is their regulatory experience?

Both MH and JB worked with DBS Financial Management plc for a number of years acting as Network Supervisors. More recently JB worked in Sesame Direct providing directly authorised firms assistance. During her time with Bradford & Bingley JB was responsible for a team of advisers which included compliance for the team.

How do they keep up to date with regulatory and product changes? All consultants attend seminars held by product providers and the Association of Professional Compliance Consultants (APCC), FCA seminars, consult with life representatives, visit the FCA website, complete private study.
Which assciations or trade bodies are they members of?

CATS is a member of the Association of Professional Compliance Consultants (APCC). MH is also an approved Associate of Standards International, a certified body for the ISO 22222 standard.

All consultants are members of the Personal Finance Society. MH is a member of the Institute of Financial Planning.

MH is a  member of the CISI.

Does the agreement detail the type of work that will be done? Yes
Will the service agreement be reviewed on a regular basis to ensure that it meets your requirements? Yes - annually from the date that the agreement is signed.
What are the charges? Dependent upon the size and requirements of the firm.
Do they have sufficient resources? Yes
What are the back up arrangements for holidays/sickness? No consultant will be on holiday at the same time as each other.


Standard InternationalAPPCCFP

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Contact Details

Compliance and Training Solutions Ltd
40 Broomfield House
Lanswood Business Park
Elmstead Market
Phone: 01206 230804
Email: info at complianceandtraining.co.uk