Award Winning Compliance Support

Compliance & Training Solutions - proud to be the number one choice for compliance consultants by Accredited Firms with the CISI

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"

Services


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.

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 IFA Compliance Support

IFA 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 Dashboard

Client Dashboard

Gain access to CATS HUB which provides you with your own exclusive dashboard

Go to RegData Assistance

RegData Assistance

Reduce the time you spend producing your RegData Report.

Go to Annual Knowledge Tests

Annual Knowledge Tests

CATS can provide your team with up to date knowledge tests.
Go to Templates & Documents

Templates & Documents

So far over 37,000 have been downloaded by our clients from this site.

Meet the team

You're only as good as the team you surround yourself with and that is why we have recruited the best.

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.

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

Andy Philpott

Compliance Consultant

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 Harding

Compliance Consultant

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

IAN GAMBLE

Compliance Consultant
Ian joined CATS in 2021. He started in financial services in 2000, working for Aviva for 10 years in various roles. From 2010, he has worked for both small and large IFA firms as Compliance Manager and T&C Supervisor, with most recently being at a firm with over 30 investment and mortgage advisers. Ian is Diploma and mortgage qualified, as well as holding the certificates for Equity Release and Long-Term Care

Testimonials

Contact Us

We'll do our best to get back to you ASAP!

40 Broomfield House,
Lanswood Business Park,
Elmstead Market,
Colchester,
Essex,
CO7 7FD
info@complianceandtraining.co.uk
01206 230804
Zerif Lite developed by ThemeIsle