Our services

Our services

 We provide a wide range of professional regulatory compliance and risk management services to meet the needs of your firm.  

Our ultimate aim is to ensure you are happy every time you do business with us, and to develop an ongoing relationship with you as your professional compliance advisor. Services are generally provided over the telephone or via email for speed and efficiency, but it's always constructive to try and get a face-to-face meeting certainly in the initial stages. No matter where you're located, I can come to you onsite. 

The fees for our work are fair and we believe very reasonable,  and also structured to ensure your business gets optimum value for money.

Compliance Advice

We can provide ad-hoc advice on individual regulatory or risk queries specific to your business, or more in depth opinion on current regulatory policy, and how we think it impacts you.

Regulatory Healthcheck

We can conduct an annual, in depth audit of all the regulatory rule areas that impact your business, and provide an action based report on your current state of regulatory health. 

Compliance Monitoring

We can act as your delegated compliance oversight function, providing an independent pair of eyes on the operation of your business from a regulatory perspective. (note: the SMF16 responsibility remains yours!)

File Review

We can carry out in-depth sample file checks to ensure your advisors are complying with FCA rules in areas, for example, such as onboarding, suitability and record keeping.

Document Preparation

We can prepare regulatory compliant policies and procedures, and other such documentation, and also assist your business apply for authorisation or new FCA permissions as necessary.

Risk Management

We can assist in ascertaining what the key risks to your business are and how to ensure these are given the attention they deserve to prevent adverse impact on your operations.

Governance Arrangements

We can advise on the robustness of your business's systems and controls, and how to ensure these give senior management the necessary comfort that your firm operates a compliant business model.

Regulatory Horizon Scanning

We can provide a regulatory outlook and developments summary exercise on a periodic basis, to ensure your business is kept abreast of policymaking in the UK, the EU and the US as applicable.

What next?

If you feel that we may be able to assist in the regulatory needs of your business, then the next step is to have a chat to get an initial idea of these needs, either in person at your office, or over the phone. 
The first contact won't cost you a penny, and will allow us to prepare a more detailed proposal, including the anticipated time commitment and the fee for the work involved.

Good communications are critical to ensuring we meet or exceed your expectations at all times, and when you become a Skythorn client, we promise to continue as we started. Above all else, if you're happy, we're happy!
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