Risk and Conduct Services Ltd is a company registered in Scotland SC458434
Founded in 2013, Risk and Conduct Services Ltd has already assisted in developing solutions for a number of firms across a wide range of regulated activities:
· FNZ (UK) Ltd (Wrap Platform Provider)- Short-term Operational Risk resource provided. Risk policies and Dawn Raid processes supplied;
· Adam & Co plc (Private Bank) – Anti-Money Laundering & Countering Terrorist Financing (AML/CTF) resource provided and PEP/High Risk Client procedural reviews undertaken;
· Scoban PLC / Hampden & Co plc (Private Bank) - Development and production of risk policies and procedures for presentation to the FCA and PRA;
· JRH Consulting Ltd (Audit and Risk consultants) - Sub-contractor, providing regulatory advice and documentation.
Work has also been undertaken in the following areas:
· Developing a complete Risk Framework and an Operational Risk Policy for a newly FCA regulated debt-collection business;
· Writing sector specific complaints handling training developed for an insurance broker in the airline industry.
