Ellis Wilson provides independent regulatory advice, compliance assurance and assistance with financial services regulatory compliance to the investment management and advisory sectors. We also provide specialist Client Money and Assets (“CASS”) compliance advice and assistance to many types of financial services firm.

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, all delivered through our GOLDCOMPLY compliance technology platform.

Compliance isn’t something you do or have done to you. It’s something you need to be In.