At Frank Investments, we deliver specialist compliance consultancy services to support firms that are directly authorised by the Financial Conduct Authority (FCA), as well as those operating as Appointed Representatives, including firms seeking to establish or enhance their Appointed Representative arrangements.

Our approach ensures that compliance is embedded into your business in a practical, proportionate, and commercially effective way. As a boutique compliance provider, we work with a select group of like-minded businesses providing a fully bespoke service aligned to your firm’s FCA permissions, business model, and risk profile.

Whether you require long-term FCA compliance support, a one-off review, or specific project work we provide a responsive, expert-led service that helps you navigate an increasingly complex regulatory environment with confidence.

Compliance Monitoring for FCA Regulated Firms

A robust and effective Compliance Monitoring Programme is a core expectation for all UK FCA regulated firms. It is not simply a regulatory requirement, it is a critical tool for identifying risk, strengthening controls, and demonstrating good governance.

At our firm, we design and deliver tailored compliance monitoring programmes that reflect your specific regulatory permissions, business model, and risk profile. Our approach combines intelligent in-house compliance technology with detailed, hands-on reviews carried out by experienced practitioners. We don’t believe in “tick-box” compliance.

Training Solutions

As with all things compliance related, training should be robust and fit for purpose.  At Frank Investments we will suggest training that is suitable for your business goals & needs as well as ensuring you meet your FCA regulatory requirements.  These may include in person solutions, online solutions or a combination of both. We will work together with you to find and provide the right solution.