Our Services
Applications
FCA Authorisation
Velocity Compliance's expertise simplifies this journey, guiding firms through challenges like understanding threshold conditions, ultimately leading them to successful registration or authorisation.
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Change Control
If you're seeking FCA approval to change control in your firm or a target firm, Velocity Compliance stands ready to assist. We strive to have the application deemed 'complete' in the shortest time possible, ensuring every modification is meticulously documented, reviewed, and executed.
Appointed Representative
​Whether you're contemplating becoming an AR or require assistance in supervising one, we provide comprehensive support, ensuring all regulatory standards are met, paving the way for a smooth integration into the regulated financial domain.
Senior Management & Certification Regime
Through Velocity Compliance's guidance, firms can adeptly navigate and implement SM&CR requirements, ensuring senior managers are aptly qualified and cultivating an organizational culture rooted in responsibility.
Variation of permission
If you're contemplating altering or expanding your FCA permissions, our objective is to swiftly achieve a 'complete' status for your application. We ensure all prerequisites are satisfied, streamlining the process, so you can adjust to evolving business demands without undue holdups.
AML Registration
Whether you're seeking AML registration or need assistance in upholding compliance, we offer comprehensive support, ensuring all regulatory criteria are satisfied and aiding firms in crafting robust AML frameworks.
Financial crime
Financial crime, encompassing activities like money laundering and fraud, presents substantial threats to businesses. Velocity Compliance, with its profound expertise, aids firms in navigating these challenges, ensuring robust protection against risks and offering support through the complexities. We provide all-encompassing assistance across every facet of the Anti-Financial Crime (AFC) framework, from the initial application and implementation to assurance and outsourcing. Our holistic services include applications, implementation, advice, transformation, assurance, and outsourcing, fortifying a comprehensive approach to thwarting financial crime.
compliance support
Advice
Our team of experts provides timely and actionable advice, ensuring that your business navigates the complexities of regulatory requirements with confidence.
FCA File Reviews Compliance
Our meticulous FCA file reviews ensure that your documentation meets the highest standards of regulatory compliance, identifying potential areas of concern and offering solutions.
Complaint Handling
Our team assists in managing and resolving customer complaints in line with regulatory requirements, ensuring that issues are addressed promptly and effectively.
Regulatory Updates
Stay ahead of the curve with our regular regulatory updates, ensuring that your business remains compliant as regulations evolve.
Training & Competence
We offer tailored training sessions to equip your team with the knowledge and skills they need to operate within regulatory guidelines.
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Compliance Call Monitoring
We monitor calls to ensure that communications align with regulatory standards, providing feedback and recommendations to enhance compliance and customer interactions.
Financial Promotions
We review and approve financial promotions, ensuring they are clear, fair, and not misleading, adhering to the strict guidelines set by regulators.
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Regulatory Returns
We assist in the preparation and submission of regulatory returns, ensuring accuracy and timely submissions to regulatory bodies.
Audit & Advisory
Advice
Our team of experts is always on hand to provide actionable and timely advice, ensuring that your business remains compliant and ahead of any regulatory changes.
Governance & Culture
Recognizing the importance of organizational culture and governance in compliance, we offer guidance to ensure that your firm's values, behaviors, and structures align with regulatory expectations.
CASS Audits
Specializing in Client Assets Sourcebook (CASS) audits, we ensure that firms meet the FCA's strict standards for handling client money and assets, safeguarding both the firm and its clients.
Audit
With a meticulous approach, we conduct thorough audits of your operations, identifying areas of concern and providing recommendations to ensure compliance with all regulatory standards.
Consumer Duty
We assist firms in understanding and fulfilling their obligations towards consumers, ensuring that customer interests are always at the forefront of business operations.
Looking for Something Specific?
If you don't see the service you're seeking, don't hesitate. If it pertains to financial service compliance, there's a high likelihood we offer it. Reach out to us with your specific needs, and let's explore how Velocity Compliance can be your guiding light in the realm of financial regulations.