AN INTRODUCTION TO CATS

A short video by Mel Holman





Client Client Client

Services


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.

Go to INITIAL MEETING

INITIAL MEETING

This sets out the process and explains how we like to work.

Go to FCA Compliance Audits

FCA Compliance Audits

We can conduct a thorough audit on all firms.

Go to FCA Compliance Support

FCA Compliance Support

Our experience allows us to assist you in many ways.

Go to FCA Compliance Manual

FCA Compliance Manual

Bespoke Manuals either written by us or providing guidance.

Go to FCA Authorisation

FCA Authorisation

Various services available for us to assist you in this complicated area.

Go to FCA Training & Competence

FCA Training & Competence

Let our experience and expertise help you in this area.

Go to File Checking

File Checking

We have a very robust procedure using software designed exclusively for us.

Go to Client Propositions

Client Propositions

Like our manuals, this can be written for you or we can provide guidance on existing documents.

Go to Gabriel Assistance

Gabriel Assistance

Reduce the time you spend producing your Gabriel Report.

Go to Annual Knowledge Tests

Annual Knowledge Tests

CATS can provide your team with up to date knowledge tests.

Meet the team

The CATS team has a wealth of experience between them all.

Mel Holman

Director (CFP CM)
Mel is a certified and chartered financial planner and has worked in the field of compliance for over 20 years. Mel is Director and founder of CATS. Mel formed CATS in 2005 after realising that Financial Advisers firms had a need for a Compliance Support company that rolled up their sleeves and got involved to take away the stress of managing a business whilst ensuring they were complying with the regulator. Whilst Mel is one of those strange people who enjoys compliance, in her spare time she enjoys running, the occasional glass of wine and spending time with her family.

Martyn Holman

Director
Martyn has many years of experience within the Finance industry originally as a Financial Adviser with the Woolwich and Friends Provident. Martyn then moved on to forge a career in sales and Marketing before joining Mel as a Director at CATS.

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.

Charlotte Holman

Company PA
Following a career within an estate agency Charlotte joined CATS and has put her diploma in Business and Finance to good use. Charlotte is here to support the team and our clients to ensure all runs smoothly.

When time permits Charlotte is studying for her diploma, as a recent Mum to Pippa, time is a little short.

Gemma Knight

Manager
Gemma has worked in the Financial Services profession for over 14 years. She began her career at NatWest Bank as customer service advisor until being promoted to Branch Manager.

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

James Brennan

Manager
James started his career in Financial Services over 15 years ago. During this time James has gained a wealth of experience of Compliance, Paraplanning and advising clients.

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 Whitelock

Compliance Consultant
Sarah has been in Financial Services for 18 years and began her career with Aviva, progressing through the company in sales, trading and team management roles.

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 Hall

Compliance Consultant
Phil has worked in Financial Services for 18 years. Phil started his career as a Sales Agent for Pearl Assurance, before becoming a mortgage advisor. He later enjoyed a move to becoming a Wealth Management Advisor.

Phil is also at Diploma status.

Fraser Gambling

Compliance Consultant
Fraser is 30 years+ veteran of the life, mortgage and pensions industry, with extensive experience of management, independent advisory and compliance consultancy roles. He joined CATS in 2017 and is ACII, Dip PFS qualified, with G60 & CF9 and is a Chartered Insurance Practitioner, specialising in pensions matters.

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.

Tom Hinde

Compliance Consultant
Tom joined CATs in 2017 having worked across a range of roles within the financial sector since 1991. Initially employed in a Bancassurance role. In 1993 Tom moved into the Independent Advice sector.

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.

Simon Harris

Compliance Consultant
Simon joined CATS in April 2018. He has had a varied career in financial services working for high street banks, building societies and wealth management firms. Simon is Diploma qualified and has worked in the risk and compliance field for the last 15 years.

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.

Carole McMahon

Compliance Consultant
Before joining CATS, Carole worked in the IFA sector for over 30 years where she gained a breadth of experience in compliance, operations and the provision of financial advice.

Outside of work, Carole enjoys long walks with the dog and spending time with family and friends.

Carole has also attained the Diploma Status.

Kim Bennett

Compliance Consultant
Over 14 years’ experience within Financial services starting back in 2005 as a trader before becoming an investment adviser and later taking the role of paraplanner with a number of firms. In 2015 Kim moved into the field of Compliance gaining a wealth of experience in Investment, Pension and mortgage business.

Kim has attained the Diploma qualification

Gemma Chambers

Compliance Consultant
Over 17 years’ experience within Financial services starting back in 2001 as a Customer services agent with Zurich. Since 2001 Gemma has had a number of roles within the Finance sector as a Paraplanner & a Pension Planning Consultant and therefore, brings a wealth of experience to the team. Gemma has attained the Diploma qualification.

Testimonials

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