Ellis Wilson provides independent regulatory advice, compliance diagnostic assurance and assistance with financial services regulatory compliance specialising in the investment management sector.
Our services are designed to support the compliance activities of our clients built on a coherent compliance assurance framework, designed to be manageable and mindful of the scale of every firms’ business and the impact of the FCA’s rules. We deliver our services through regular relationship dialogue, meetings, assurance visits, a compliance risk assessment, compliance documentation and make recommendations from our independent compliance diagnostic reviews.
Our view is that financial regulation is a framework, providing a foundation to your business. Compliance isn’t something you do or have done to you. It’s something you need to be In.