Your One Stop
Compliance, Risk & Governance Solution
Compliance CRG is a niche compliance consultancy firm who specialise in providing seamless and responsive front line support to businesses that are regulated by the Financial Conduct Authority and the Prudential Regulation Authority.

About Compliance CRG
Information about who we are and our points of focus.
About Us


Who We Are
Compliance CRG is a niche financial services consultancy that affords our clients the comfort of the 4th Line of Defence. Our team has broad global networks and years of cross-market regulatory experience, and is committed to providing an outstanding service that exceeds the expectations of our clients. We offer a comprehensive range of Compliance, Risk and Governance solutions, including up to date real time Regulatory Guidance, bespoke Compliance Monitoring Plans, fully inclusive Risk Management Profiles, Financial Promotions approval and editing services, together with associated support to Investment Banking, Investment Management and Fund Management firms regulated by the FCA and the PRA.
Our Points Of Focus
- Regulatory training & development
- FCA Regulatory Updates
- Financial Promotions Oversight
- Compliance Manual Production
- Risk Management Programmes
- FCA Approvals
- Compliance Monitoring Plans
- Section 166 Investigations
- Regulatory Risk Assessment
- Regulatory Visit Preparation
- Complaints Investigation
- Regulatory Returns & Reporting
Compliance CRG Services
View our services below or contact us for information on how we may be able to help you.
Anti-Money Laundering
Are You Protected?Detecting Suspicious Activity
Addressing The Issues Properly- A review of AML risk assessment.
- A review of Customer Due Diligence arrangements.
- Suspicious Activity Reporting.
- A review of the MLRO’s annual report.
Your Solutions
Need A Regulatory Health Check?From Simple To Tailored Solutions
Managing Your Regulatory Risk Requirements- Stockbrokers.
- Asset Managers.
- Investment Managers.
- Independent Financial Advisors.
- Investment Banks.
- Fund Managers.
Advice And Assistance
Keeping Track Of Regulatory Developments?Speak To An Independent Expert
Advice On A Variety Of Subjects- FCA and PRA Applications.
- Training & Competence.
- FCA and PRA Rules and Regulations.
- FCA and PRA Compliance Health Checks.
- FCA and PRA Enforcement Action / Skilled Persons Reports.
Compliance Audit
Is Your Firm Compliant?Identify Areas Of Improvement
Recommend Courses Of Action- Financial Promotions.
- Suitability and Appropriateness.
- Corporate Governance.
- Complaints.
- Treating Customers Fairly.
Compliance Documentation
Remember The Overall Rule?If It Is Not Written Down
It Does Not CountCompliance Monitoring Plan
Is Your Firm Compliant?Detecting Breaches And Errors
Reviewing / Producing Bespoke PlansCompliance CRG News
Bed & BREXIT? OR Room Only?
Financial services regulation - what impact will Brexit have on regulated firms established in the UK, Europe and third country jurisdictions? Bed & BREXIT? OR Room Only? Neil Mathias is managing director and founder of [...]
Transforming Culture in Financial Services
Having published a discussion paper on “Transforming Culture in Financial Services” on 12 March 2018, Andrew Bailey, the Chief Executive of the FCA, gave a speech to the Financial Conduct Authority conference where he emphasised [...]
Son of MiFID – MiFID II
The European Commission's proposal for MiFID II, published in October 2011, is the successor to the Investment Services Directive of 1993 and is the foundation of the EU regulatory framework for investment firms. Encompassing a [...]
Contact Compliance CRG
To contact us please either submit the online form below or use the other contact methods listed.
Send Us A Message
Get In Touch
- Compliance CRG, 11th Floor, 88 Wood Street, London, EC2V 7RS
- 07967 024 763
- info@compliancecrg.com