High-Quality Compliance Support for your Business

Tailored. Trustworthy. Experienced.

  • Tailored
    We offer solutions to problems rather than simply identifying problems. We then provide practical and proportionate solutions designed to work in practice - we do not deliver one-size-fits-all advice.
  • Trustworthy
    Transparent pricing with no upselling or pressure to commit to ongoing services. Support is driven by your needs, not sales targets.
  • Experienced
    Work directly with an experienced consultant with strong technical expertise and a proven record of supporting firms of all sizes. No subcontractors. No outsourcing.

How We Work

  • We work in partnership with you from an early stage, to understand your needs and requirements.
  • Our approach aims to reduce disruption and support better outcomes for your business and your clients.
  • Our advice is practical, proportionate, and aligned with regulatory expectations — not theoretical or overly complex.

Our Services

Compliance Horizon Scanning

Helping you stay on top of rule changes and thematic reviews, we can deliver training, presentations and practical guidance to enable proactive steps to be taken to manage change.

Consumer Duty

With a sharpened regulatory focus on client outcomes, we can support the design and review of fair value assessments, customer journeys, communications frameworks, vulnerability processes and data/MI, to enable you to evidence those outcomes effectively.

Ad-hoc Compliance Support

Sometimes, unusual or complex client circumstances or questions require some thought. Our support can be that sounding board or reassurance you need to ensure you take the right steps towards servicing your client needs, aligned with good practice and the requirements of the regulator.

Compliance Documents

We can review or provide internal Compliance policy and procedure documentation, to ensure they remain up to date and work in practice — smoothing regulatory visits and any acquisition processes.

Compliance Monitoring and Assurance

You may want clear assurance that a process is designed effectively and/or working effectively. We can deliver ad-hoc reviews or the design of risk-based monitoring and assurance programmes, templates, and reporting frameworks.

FCA Authorisation

Getting your applications right saves time and money, so we can support you in the authorisation process, whether this is to be directly authorised for the first time or by helping you vary your current FCA permissions.

Conduct and SMCR

With conduct continuing to be a focus for the FCA, we can review and support your conduct rule breach processes, as well as providing gap analysis and assurance over your wider SMCR processes.

If you'd like to discuss how Danbury Compliance can support your business, we'd be happy to have an initial conversation.

Arrange an Initial Discussion

Who We Are

Danbury Compliance was created from a desire to deliver high-quality, pragmatic compliance support to firms of all sizes — not just those with the largest budgets or those already facing regulatory pressure.

Compliance works best when it partners with a business early and consistently. When support is accessible and proportionate, disruption is reduced and better outcomes are achieved for firms and their clients.

Leadership

Gary Nicholls

Gary Nicholls

Director & Consultant

Gary has extensive experience supporting regulated firms across the financial services sector. He has seen first-hand the value compliance can create when it is embedded, forward-looking, and aligned with commercial objectives.

Danbury Compliance exists to support businesses and their clients through clear advice, practical solutions, and honest engagement.

Experience

Regulatory Change

Interpreting and designing solutions for regulatory change (e.g. Consumer Duty, MIFID II, SMCR, IFPR).

Regulatory Advice

Providing guidance to client-facing and operational teams on day-to-day queries

Advice Frameworks

Designing and implementing file review frameworks covering Investment and Retirement Advice as well as Investment Management

Complaints

Handling client complaints and undertaking root cause analysis to identify remediation required

Risk Management, Monitoring and Assurance

Performing and designing assurance and control assessments, implementing solutions for day-day risk management

Acquisitions

Conducting due diligence within acquisition processes, understanding what 'good' looks like and understanding what 'acquirers' are looking for

Let's Talk

If you'd like to discuss how Danbury Compliance can support your business, we'd be happy to have an initial conversation.

Contact Us