About

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.

The website 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.

Catherine also provides direct consultancy support in all aspects of investment compliance, and specialises in corporate restructuring and new firm authorisations. She's a dab hand at untangling even the most knotty compliance problem, and relishes going head-to-head with the FSA on their own rules.

She responds to as many consultations affecting advisory and discretionary investment firms as humanly possible, and can proudly claim to never having missed a rule change.

Being a Yorkshire Lass, Catherine has a down-to-earth approach and looks for the most cost effective solution to any compliance problem. If you would like to discuss consultancy support get in touch.

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