AN INTRODUCTION TO CATS

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.

Client Dashboard

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

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.

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

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.

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

Testimonials

Trusted Advisor Ltd have worked with Mel Holman and CATS since 2005. Although we have a small client bank, much of our work is complex and Mel is a completely reliable resource when we need trustworthy advice.

CATS has a very comprehensive package of online tools that we can use, and when we cannot get to meet with CATS staff face-to-face, they have excellent file sharing and screen share software.

We have referred many other IFA companies onto CATS over the years who all remain, like us, entirely happy and confident in the advice and work that CATS do for us. It’s simply a great relationship.

David Vaughan

Trusted Advisor Ltd

We have worked with James Brennan and the CATS team since becoming directly authorised in January 2018. James and the CATS team are pro-active, professional and knowledgeable.

The communication we receive is clear, and CPD training events that they hold are relevant and frequent. James’s regular visits keep us informed by ensuring that we are up to date with regular compliance and technical news.

Sarah Elson

Berry & Oak

I cannot recommend CATS’ highly enough. We have worked with Mel, Martyn and the team since 2011 and during the past 8 years there has been a large amount of regulatory change which can be overwhelming at times. CATS has – unquestioningly – always gone the extra mile to provide personalised compliance support that makes us feel confident we not only remain compliant, but ahead of the regulatory curve.

Their timely, proactive advice is crucial and invaluable not only during times of regulatory change, but on an ongoing basis thorough regular file reviews. Thank you for your continued guidance.

Justin King

MFP Wealth

Your business, your future, your choice.

AN INTRODUCTION TO CATS

A short video by Mel Holman

Client Comments From Our CPD Days

Services

INITIAL MEETING

FCA Compliance Audits

IFA Compliance Support

FCA Compliance Manual

FCA Authorisation

FCA Training & Competence

File Checking

Client Dashboard

Gabriel Assistance

Annual Knowledge Tests

Templates & Documents

Meet the team

Mel Holman

Martyn Holman

Charlotte Holman

Gemma Knight

James Brennan

Sarah Whitelock

Phil Hall

Fraser Gambling

Simon Harris

Carole McMahon

Kim Bennett

Gemma Chambers

Andy Philpott

Stuart Harding

Testimonials

Contact Us

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