Testimonials

Our Clients Said About Us

person"I have found the services of Caroline and Venta Compliance very positive, professional and knowledgeable.

Caroline is a force in the compliance arena and is especially good at finding the devil in the detail. This is an invaluable attribute when working in the financial sector.

All parts of the service are clear, concise and to the point. With Caroline on my side I have the confidence to grow my business with the peace of mind that all compliance bases are covered.

Caroline's vigilance and in depth knowledge is second to none and I would thoroughly endorse Venta to anyone considering their services." John Woolfitt, Atlantic Capital Markets.

person"Caroline is someone I’ve worked with for over 15 years across four different FCA regulated businesses. Her opinion is something we have always trusted and respected. She has navigated us through an ever-changing regulatory environment and helped us deal with a large variety of different issues." Andrew Gibson, Key Currency.

FCA AUTHORISATIONS

We can support you in your application to become authorised by The Financial Conduct Authority. This can include assistance with completing application forms, advice on content and liaising with the regulator.

COMPLIANCE DOCUMENTATION

It is important to be able to demonstrate to the regulator that your business understands and complies with their requirements. We can support you in drafting compliant policies and procedures tailored to your business, including Compliance Manuals, AML policies and Compliance Monitoring Programmes.

COMPLIANCE MONITORING

To demonstrate on going compliance with regulatory requirements we can implement and carry out a comprehensive compliance monitoring programme designed around your business. To include reporting to senior management and support in resolving any issues raised.

PRACTICAL SUPPORT FOR YOUR REGULATORY COMPLIANCE REQUIREMENTS

Venta Compliance provides a wide range of support to financial services businesses regulated by the Financial Conduct Authority. From getting your business authorised, to designing compliant policies and procedures we can help your company to comply with all its regulatory requirements.

Our consultant has over 20 years experience in the financial services industry, working with a range of regulated businesses. We provide support with specific projects, for example in the implementation of the forthcoming Senior Manager and Certification Regime as well as with business as usual activities such as regulatory reporting requirements and meeting AML responsibilities.

About Us

Venta Compliance provides practical regulatory compliance solutions to companies regulated in the financial services sector. This includes support with authorisations, variations of permission and other notifications as well as post authorisation compliance monitoring and advice on meeting current and future regulatory requirements.

Member of the Association of Professional Compliance Consultants

APCC

Address

17, Andover Road North, Winchester, Hants SO22 6NN

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