About Us

All members of our professional team are experienced and technically proficient in providing compliance consulting services to the following types of investment firm:

  • Investment management firms (under MiFID and/or AIFMD)
  • Investment advisory firms
  • Investment arrangers
  • Venture capital / private equity firms (including under AIFMD)
  • Corporate finance firms
  • Brokers / dealers
  • Placement agents
  • Custodians of client's assets
  • Applications for FCA authorisation as one or other of the above

    • The services that we provide, which vary according to a firm's prudential status, include:-

  • Applications for FCA authorisation
  • Preparation of compliance-related documentation e.g. Compliance Procedures Manuals, Compliance Monitoring Programmes, Business Continuity Plans and Anti-Bribery Policies and Procedures Statements
  • Compliance Training Service
  • Money Laundering Prevention Training
  • Compliance Governance Service
  • Compliance Resource Service, including compliance monitoring
  • Preparation of FCA Financial Returns
  • High-level Compliance Advice and Assistance
    • Our pre-authorisation service is designed to expedite the preparation of an applicant firm’s application for FCA authorisation at a sensible cost, and our post-authorisation service is designed to enable a client firm to meet its obligations under the FCA’s Rules in an efficient, cost-effective and practical manner.
    Professional Team
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    Richard Symington, Principal and Chief Executive

    Richard is a Chartered Accountant, a Fellow of the Institute of Chartered Accountants in England and Wales.

    After graduating from the London School of Economics in 1977, Richard worked for Ernst & Young in London for 12 years, reaching the position of senior manager and specialising in audit services to the banking and financial services industry. During his time with E&Y, from mid 1986 to mid 1988, he was seconded to the Policy Unit of the Banking Supervision Division of the Bank of England.

    In 1990 Richard then moved to Hambros Bank as Deputy Compliance Officer, where he was responsible for managing the bank's and other regulated Hambro group companies' compliance with IMRO’s and the SFA’s requirements.

    At the beginning of 1997 Richard joined The CCL Partnership, a firm of compliance consultants, to develop its services to investment management and venture capital firms. He became a partner in April 1998. Then, in 2004 Richard decided to set up Methuen Consulting and continued to practice as a compliance consultant in that name.

    With over six years as a compliance officer, and practising as a compliance consultant since 1996, Richard has gained considerable experience in, and technical knowledge of, all aspects of regulation and compliance relating to investment businesses.

    Richard was born and brought up in Oporto, Portugal and lives in south west London. He speaks Portuguese and French. Richard is married and has two daughters.

    Senior Consultants
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    Richard’s team consists of six senior consultants, consisting of ex-compliance officers, anti-money laundering specialists, and chartered accountants who specialise in all aspects of the FCA’s capital requirements and in preparing FCA financial returns.

    They have experience of all types of investment business, and technical knowledge of the whole range of the FCA’s rules for investment businesses.