Compliance

A compliance partner that will enhance your firm and protect your reputation

Operating a regulated firm presents significant challenges over operating in an unregulated marketplace. That’s why investment providers look to us to help them overcome complex regulatory requirements and achieve their commercial objectives.

Compliance

Scott Robert: your trusted compliance provider

Market-leading compliance specialists Scott Robert became part of the Northern Provident Group in 2020, expanding our range of outsourcing services for clients. Since launching in 2008, Scott Robert has used its knowledge of the UK’s regulated financial services market to help thousands of companies of all sizes to gain FCA-authorisation and market their investments to UK-based clients.

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    Risk, compliance and strategy experts

    FCA authorisation

    We help firms to achieve regulatory compliance through FCA- authorisation and ongoing advisory audit services.

    Advisory services

    As well as being experts in data protection (GDPR and PECR), we deliver comprehensive compliance training and support.

    Managed compliance

    We create bespoke management systems and compliance frameworks so that operational excellence is maintained.

    Regulatory umbrella

    We provide comprehensive regulatory services that ensure full oversight over your firm’s activities.

    A client-led approach

    Scott Robert can give you an innovative and practical compliance framework that enhances the reputation of your business with the regulator and with investors. To find out more about their range of compliance services, call 02896 001616 or contact us.

    Compliance