Compliance Made Simpler

Discover how Compos Mentis consultancy services can help

Compos Mentis provides specialised compliance intelligence and consultancy support to smaller MIFIDPRU investment firms and groups. Whether your firm is small and non-interconnected (SNI) or not (non-SNI) Compos Mentis provides exactly what is needed to help you keep compliance under control.

Catherine Lumb
About Catherine Lumb

Catherine Lumb is a freelance investment compliance consultant. She established Compos Mentis in 2000 with the aim of helping small, directly authorised firms manage routine compliance for themselves, as cost effectively as possible. Over the years she has developed a specialism for small discretionary firms and now focuses entirely on MIFIDPRU investment firms.

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 Compos Mentis services

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Compliance Services

Monthly Compliance Updates

Our core subscription service is designed to keep you ahead of the game. Each month we plough through consultations, policy statements and rule changes and produce a concise and readable summary tailored specifically to the needs of smaller MIFIDPRU investment firms.


Sometimes you need hands on advice and support perhaps for non-routine matters. This might be venturing into a new business area, succession planning, communicating with clients or the FCA, translating your accounts into capital adequacy reports, or anything else – we can help, so get in touch.

Our Service Succeeds because it is targeted and concise

We help subscribers get compliance right first time because we focus right in on relevant topics and rule changes, and we stick to the facts. We also provide ideas and tools to help implement even the more challenging aspects of being a MIFIDPRU investment firm as simply as possible.

Get in Touch

If you would like further information about any of our products or services please feel free to call on 01845 501 188, email at or use the form below.