Compliance and Training Solutions

What Compliance and Training Solutions does

Compliance and Training Solutions (CATS), founded in 2005 by Mel Holman, is a UK-based compliance support consultancy serving Independent Financial Adviser (IFA) firms and financial planning businesses. The firm offers two principal service tiers: Foundation Support, a £160+VAT/month entry-level package providing helpdesk access, newsletters, financial promotion reviews, and portal access; and Bespoke Support, a tailored full-service engagement in which CATS effectively acts as the client's in-house compliance department, covering file reviews, audits, T&C supervision, SMCR support, REGData returns, and Consumer Duty adherence. Supplementary offerings include due diligence for share and asset purchases, FCA authorisation assistance, Appointed Representative oversight, annual knowledge testing, and the Coffee Lounge community CPD events (absorbed from Carla Langley in January 2024).

CATS's technology backbone is the proprietary CATS Hub, a bespoke web portal providing secure document transfer, file review tracking, management information dashboards, a training zone with webinars and online test papers for CII qualifications (RO1-RO5, CF6, CF8, AML, Consumer Duty, SMF16), and a templates library with over 40,000 personalised downloads. The platform is positioned as a workflow and content layer rather than an AI-driven product.

The business is founder-owned and operated with no institutional investment or parent entity, employing 11-50 staff across Colchester (headquarters), East Anglia, and North Yorkshire. The firm serves 1,100+ users across 200+ organisations, has won five consecutive Professional Paraplanner Best Third-Party Support awards (2021-2025), and swept the FT Adviser Financial Services Awards in 2024 and 2025. Revenue derives primarily from recurring subscription-style consultancy engagements supplemented by workshop fees and transactional due diligence fees.

Name

Compliance and Training Solutions

Legal name

Compliance and Training Solutions Limited

Website

https://complianceandtraining.co.uk

Company type

Private

Founded year

2005

Operating status

Operating

Headcount range

11–50 employees

Short description

Compliance and Training Solutions (CATS) is a UK-based, founder-owned compliance support consultancy founded in 2005 that provides bespoke and entry-level compliance services, proprietary CATS Hub software, training, and due diligence to over 200 IFA and financial planning firms across the United Kingdom.

Ownership category

akta.pro rank

Headquarters

HQ city

Colchester

HQ country

United Kingdom

HQ region

Europe

Offices3 records

Markets served

GTM type

B2B

Offering type

Services

Cost components

Personnel, Technology or R&D, Operations, Marketing or Sales, Infrastructure

Revenue model

1. Foundation Support Package: Entry-level compliance support service providing helpdesk support via telephone and email, monthly newsletters, CPD day invitations, financial promotion reviews, access to CATS Hub including Training Zone and Template site, webinar invitations (free), and workshop invitations. Additional charges apply for file reviews.
2. Bespoke Support Service: Full-encompassing, fully bespoke compliance support service where CATS becomes the client's in-house compliance department. Services include skills training, supervision of trainees, adviser one-to-ones, T&C including KPI data, annual audits, compliance reports, complaints handling, regular file reviews, SMCR support, REGdata returns, and Connect applications assistance.
3. Due Diligence Services: Due diligence services for share and asset purchases including file reviews, comprehensive audits, and detailed reporting. CATS has managed hundreds of millions of pounds worth of purchases.
4. Coffee Lounge CPD Events: Free virtual coffee lounge events held bi-weekly for IFAs, paraplanners and business owners to share ideas and earn CPD certificates. Each attendee can receive up to 19 hours of CPD.

Pricing tiers

Go-to-market motion1 record

Distribution channels3 records

Marketing channels7 records

Core offering

Compliance and Training Solutions (CATS) provides bespoke compliance support services to UK Independent Financial Adviser (IFA) firms and financial planning businesses. The company delivers Foundation Support (helpdesk, newsletters, CATS Hub portal access from £160+VAT/month) and Bespoke Support (full in-house compliance department functionality including file reviews, audits, SMCR, and REGData) through qualified consultants (minimum CII Diploma Level 4) supported by a proprietary CATS Hub software platform with over 40,000 downloadable templates and online knowledge tests.

Product overview

Compliance and Training Solutions (CATS) is a multi-award-winning compliance support company founded in 2005, offering a portfolio of bespoke compliance services to financial planning firms. The core offering centres on two service tiers—Foundation Support (starting at £160 + VAT/month) providing helpdesk, newsletters, and portal access, and Bespoke Support delivering full in-house compliance department functionality. The product portfolio centres on the proprietary CATS HUB software platform, which provides a client dashboard, document transfer, file review management, and access to the Training Zone. Supporting sub-products include Annual Knowledge Tests (online CII exam papers with certificates), Templates & Documents (40,000+ downloadable compliance templates), and the Coffee Lounge (virtual CPD networking events held twice monthly). Services span IFA compliance support, FCA compliance audits, FCA authorisation assistance, file reviews, training & competence, appointed representative oversight, Consumer Duty, and due diligence for business transactions.

Differentiator

Problem solved

Functional benefit

Brands

• CATS Hub: Bespoke software platform providing access to webinars, newsletters, training zone, file review requests, and document management for clients.

Products and services

• Foundation Support Entry-level compliance support package for UK IFA firms, providing helpdesk access via telephone and email, monthly newsletters, CPD day invitations, financial promotion reviews, and CATS Hub access including training zone and template site, starting at £160 + VAT per month.
• Bespoke Support Full-service bespoke compliance support where CATS acts as the client's in-house compliance department, covering skills training, supervision of trainees, adviser one-to-ones, T&C including KPI data, annual audits, file reviews, SMCR support, REGdata returns, and variation of permissions assistance.
• CATS Hub Proprietary web-based compliance management portal providing secure document transfer, file review requests, Outstanding Verification Work tracking, reporting dashboards, newsletter archives, and access to the Training Zone with webinars, test papers, and study materials for CATS clients.
• Annual Knowledge Tests Online testing system providing multiple test papers for CII qualifications (RO1, RO2, RO4, RO5, CF6, CF8) plus anti-money laundering, complaints handling, bribery act, TCF, Consumer Duty, Conduct Rules, and SMF16 tests, with automatic certificates upon passing and annual reminder tracking via dashboard.
• Templates & Documents Online system providing over 40,000 downloadable personalised templates and documents including checklists, compliance manuals, and firm-specific materials, allowing firms to upload their logo and details to pre-populate and personalise all documents with searchable keyword functionality.
• Due Diligence Services Due diligence services for share and asset purchases in the financial services sector, including file reviews of target firms, comprehensive business audits, and detailed reporting on commercial viability and identified risks.
• Coffee Lounge Virtual community events held bi-weekly (2nd and 4th Fridays monthly) providing free CPD opportunities for IFAs, paraplanners, and business owners to network and discuss compliance topics, with up to 19 hours of CPD available per attendee.

Quantifiable outcome

• 1100+ users and 200+ organisations served with 9.2/9.3 satisfaction ratings for speed of service, availability, and quality
• +4 more outcomes

Named customers20 records

Segments4 records

Ideal customer profiles3 records

Technology focussed Yes

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Feature3 records

Partnerships

Ten partnerships are on record, tiered core and minor.

• PlannexcoreStrategic or Co-development PartnerCATS is the first ever compliance company to attain the 'Accredited Compliance Provider' recognition from Plannex (formerly NextGen). Plannex offers an app-based community for finance professionals with exam support, CPD opportunities, and access to training resources. CATS maintains a prominent position within this ecosystem.
• APCC (Association of Professional Compliance Consultants)coreStrategic or Co-development PartnerCATS is affiliated with the APCC. Managing Director Mel Holman holds a pivotal board position within the association, demonstrating CATS's commitment to professional compliance standards and leadership within the industry.
• NaglotechcoreTechnology or IntegrationNaglotech has been the trusted IT support provider for CATS for over a decade. They have a profound understanding of financial services sector intricacies and have been instrumental in building and maintaining all of CATS's systems.
• MelominorGTM or Marketing PartnerMelo exists for financial advice business owners seeking support with building, scaling, or selling their business. Recognised by FT Adviser as Best Business Growth and Succession Planning for Advisers. CATS professional connections page references this partnership.
• Plan WorksminorStrategic or Co-development PartnerParaplanning firm providing assistance with Centralised Investment Propositions (CIP) and Platform due diligence. CATS clients receive 50% discount on projects by contacting Plan Works.
• HUB Pension ConsultingminorChannel Partner/ Reseller/ DistributorRecommended firm for referring DB (Defined Benefit) Advice clients. Once advice is completed, clients are passed back to the referring IFA firm. Long-standing client relationship.
• FP AdvanceminorGTM or Marketing PartnerBusiness development consultancy offering signature programme 'Uncover Your Business Potential' helping financial planning firms go from good to great. Works best with businesses having annual revenues between £300k and £3m.
• When We ThinkminorStrategic or Co-development PartnerProfessional development specialists delivering targeted training programmes, interactive team workshops, and individual coaching for financial planning firms. Flexible, needs-based approach for individuals and entire teams.
• RIE SolutionsminorStrategic or Co-development PartnerPractice management support, strategic operational advice, and mentorship. Flagship Master Practitioners Club connects and supports Practice Managers, Operations Directors, and COOs with community, resources, and expert-led mentorship.
• The ParaplannersminorStrategic or Co-development PartnerPlug-in paraplanning service since 2002 providing outsourced paraplanning to financial advice practices throughout the UK. Has worked closely with CATS for more than 10 years with many shared clients.

Scale indicators6 records

Recent moves6 records

Expansion highlights6 records

Broad incumbents

• SimplyBiz Group: One of the UK's largest support services groups for IFAs, offering compliance, back-office, and professional services to thousands of member firms. Comparable to CATS as a compliance support provider to UK advisers, but at significantly greater scale and breadth.
• PwC UK (Financial Services Risk & Compliance): Big 4 firm with a dedicated financial services risk, regulation, and compliance practice serving UK banks, insurers, and advisers. Competes with CATS for enterprise-scale compliance mandates while offering broader consulting, audit, and tax services.

Direct peers

• threesixty: UK compliance consultancy focused on independent financial advisers, providing file reviews, audits, training, and FCA compliance support. A direct peer to CATS in target market, service mix, and customer base.
• Equilibrium Risk Management: UK firm providing FCA compliance support, risk management, and regulatory consulting to financial advisers and wealth managers. Closely comparable to CATS in scope of compliance services and IFA client base.
• Lemonade Compliance: UK compliance consultancy serving IFAs and wealth managers with file reviews, audits, training, and FCA-facing support. Comparable to CATS in target customers and bespoke service delivery model.
• Compliance North (now Verum Compliance): UK compliance consultancy supporting IFAs with FCA compliance, file reviews, training, and audit services. Comparable to CATS in services, customer segment, and boutique scale.
• Practice Plus (formerly Apricity Services): UK firm providing compliance, regulatory, and operational support to financial advisory firms. Directly comparable to CATS in serving the IFA market with outsourced compliance offerings.
• The Consulting Consortium (TCC Group): UK consultancy providing compliance, supervision, and regulatory support to financial advice firms. Closely comparable to CATS in serving the IFA segment with bespoke compliance support.
• Parkgate Compliance: Boutique UK compliance consultancy for IFAs offering file reviews, FCA support, and T&C services. Comparable to CATS in customer segment and boutique service model.

Emerging players

• Centralis Group: Cross-border financial services compliance, governance, and advisory firm serving alternative investment and corporate clients; less IFA-focused but comparable in providing outsourced regulatory compliance capability to UK financial firms.

Market position

Weaknesses5 records

Competitive moat6 records

Key risks1 record

Key highlights1 record

Customer concentration

• Xx.com/complianceifa
• LinkedInlinkedin.com/company/compliance-and-training-solutions-ltd

Compliance1 record

Revenue estimate

Valuation estimate

Number of profiles

Profiles20 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Compliance and Training Solutions