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Welcome to Regulatory Services Limited

Regulatory Services Ltd (RSL) is a compliance consultancy specialising in the provision of support services to firms which are authorised and regulated by the FSA. Keeping up to date with regulatory service requirements can be a struggle with the manifold demands made upon financial firms. Although compliance consultancy services are obviously another expense for a business, most firms would agree that the amount of business they could generate in a day spent with clients rather than in the office, would more than outweigh the cost of someone interpreting and guiding them through the requirements.

Our aim is to offer support solutions to ensure your regulatory responsibilities are satisfied while you concentrate on looking after your clients and running your business.

Please browse this website for further details of our services and contact us for further information.

• Auditing and Compliance Health Checks;
• Complaints;
• Day Placements;
• Compliance Outsourcing;
• Training & Competence;
• Anti-Money Laundering and Financial Crime;
• Data Protection;
• Client File Reviews;
• Policy and Procedural Manuals;
• Financial Promotions (advertising);
• Treating Customers Fairly;
• ISO 22222;
• IFAs and the RDR;
• Mortgage Brokers;
• ARROW visits

We have considerable experience in working with a range of different firms, from large to small, both directly authorized and IFA networks. We can conduct reviews, identify either good practice or areas of non-compliance, provide report-based feedback, offer solutions, identify and address development needs and help firms to implement improvements.

RSL provide compliance services primarily throughout the Southwest, including: Gloucestershire, Oxfordshire, Wiltshire, Hampshire, Somerset, Dorset, Devon and Cornwall, although we are willing to consider contracts wherever you are in the UK.

RSL is a member of the Association of Professional Compliance Consultants and is on the panel of Independent Compliance Consultants for Standards International Ltd., the first UKAS accredited certification body specialising in ISO 22222.

We subscribe to the Code of Ethics of the Association of Professional Compliance Consultants: