Compliance Made Simpler

Compliance isn't rocket science but it can seem like it when you're trying to manage a successful investment business.

Discover how Compos Mentis consultancy services can help

All you have to do is devote an hour a month to keeping up to date with compliance – yes, just one hour, each month.

If this sounds too good to be true, it isn't. Each month we plough through reams of consultations, policy statements and rule changes and produce a concise summary of exactly what you need to know that month. In plain English. And we stick to the facts.

That's not all – we also put together Actions to help you make the rules work for your firm. In our Member area we also provide straightforward guides explaining what you really need to know about investment compliance, checklists and templates and material to help with essential training for your staff.

Making compliance simpler means you have more time to run your business or...

Have fun.

Free Trial

At Compos Mentis we provide a monthly subscription service that keeps you in control of your compliance and we're so confident we can help that we offer a free trial for all new subscribers.

We'll send you the monthly rule changes summary and Actions documents for 3 months for you to check out whether we really can help you get compliance under control.

Find out how we work

Mary was regretting giving up on rocket science for a career in compliance

Our Service Succeeds because it is targeted and concise

It helps subscribers get compliance right first time because it only covers what matters, and what needs to be done that month. Less is definitely more.

Compos Mentis, run by Catherine Lumb, also provides direct consultancy support for investment firms, specialising in IFPRU firms subject to CRD IV. Catherine is a dab hand at translating FCA Handbook-speak into something intelligible and sometimes even useful, and relishes untangling even the most knotty compliance problem.

If there is something else you'd like to see on the website - tell us; and if you like Compos Mentis – tell everyone else!

Catherine Lumb
About Catherine Lumb

Catherine Lumb is a freelance investment compliance consultant with donkeys' years experience in the field of financial services regulation. She set up Compos Mentis in 2000 with the aim of helping small, directly authorised firms manage routine compliance for themselves, as cost effectively as possible.

Being a Yorkshire Lass, Catherine has a down-to-earth approach and looks for the most practical and economical solution to any compliance problem.

If you would like to discuss consultancy support

Get in Touch