AN INTRODUCTION TO CATS
A short video by Mel Holman
Client Comments From Our CPD Days
- "Need as much CATS time as possible to enable full discussion on topics and all highly relevant."
- "This worked well, you're at the coalface of compliance."
- "Found it more of an open forum"
- "I'm there to gain the views and knowledge of the experts"
- "Always interesting to hear what other firms have to say"
- "I felt it was better than having a presentation followed by questions as it keeps them in context"
- "It was a good well balanced event"
- "With the amount of subject content covered, venue, catering, opportunities to discuss issues with colleagues from the profession - very good value for money"
- "Very few training days available at such a reasonable rate. Good range of topics covered."
- "I felt that it was very valuable and interesting...did I really say that compliance was interesting?... must go for a lie down!"
- "It was a great day, thank you"
- "The format offered an alternative to provider presentations as offered by PFS etc. It is the year of regulation and most of us work in small firms and therefore the exchange of ideas and opinions is beneficial. A day focused on compliance offers an alternative. Well done!"
- "My first CATS CPD day so I have nothing to compare against. That said, it worked really well with just CATS and we did not struggle to fill the time (quite the opposite)."
- "The interaction and knowledge from you guys who we trust was just perfect"
- "We invested our time and that was a great return as so useful"
- "As a firm we are really pleased with CATs as a compliance provider, you are open, honest, willing to challenge us, but also willing to listen. It was a useful day."
- "Thank you for a very informative and useful day"
- "I think the smaller numbers and round table set up made what has potential to be a dull presentation something more interesting. Also good to hear what other people are doing"
- "I really enjoyed the day. The content was fantastic and the technical expertise of Mel & Gemma invaluable in providing real time answers to questions and guidance to our discussions"
- "I had a brilliant day and found the content very useful. As I said, it was my first CATS CPD day and I found it very beneficial. Thank you CATS!"
- "A really useful day to show we are aware of key issues and working towards or have already cleared them"
- "It was really useful"
- "Really good day. No negatives at all."
- "Mel understands how all the business work and can pitch the training at the right level"
- "Good to stick to 'compliance' only issues"
- "Relevant topics which were covered to an appropriate degree"
- "The agenda covered a lot of currently important requirements"
- "Sessions were well timed and breaks came at the right intervals"
- "Thank you for a worthwhile event. I would be very happy to attend future events as it was a good use of my time."
- "Highly topical, well-structured and informative event; well done to all involved in putting it together"
We are a small but committed team with offices in East Anglia, and North Yorkshire, we have clients based throughout the UK.
Our offering is completely bespoke to you, which allows us to be adaptable to whatever it is you need support with. Within this site you will find examples of the many services that we can deliver. All of our consultants are qualified to at least CII Diploma Level 4 with a number of them achieving their Chartered Status. We have been in business since 2005 and have an absolute wealth of experience in helping businesses like yours.
We are a friendly bunch and so if you would like a chat about our services, please let us know.
This sets out the process and explains how we like to work.
FCA Compliance Audits
We can conduct a thorough audit on all firms.
IFA 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.
Gain access to CATS HUB which provides you with your own exclusive dashboard
Reduce the time you spend producing your RegData Report.
Annual Knowledge Tests
CATS can provide your team with up to date knowledge tests.
Templates & Documents
So far over 37,000 have been downloaded by our clients from this site.
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.
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.
Kim has attained the Diploma qualification
Andy joined CATS in November 2019, having commenced his financial services career at Friends Provident in November 2000. Since then, Andy has held various compliance and technical roles, for a range of organisations of all sizes, from single IFA practices to bancassurance. Most recently, Andy worked in the compliance team for a firm of Financial Advisers and General Insurance Brokers, where he was Training & Competence Supervisor responsible for a nationwide team of 10 financial advisers. Away from work, Andy is a keen sportsman and artist and enjoys spending time with his family and lurcher puppy.
Andy is Diploma qualified and has recently passed the AF7.
Stuart joined CATS in June 2020. Stuart joined the world of Financial Services in 2001 when he started working at Lloyds TSB. Since 2001 Stuart has worked a Team Leader, Sales Support and in 2012 he became a Paraplanner working for an IFA firm close to where lives, after two years of this he became the Compliance Officer where he remained until the firm was recently acquired. Stuart has experience with T&C, MiFID and the full plethora of Compliance.
Stuart is Diploma qualified