We are a successful team of compliance consultants assisting IFA firms, throughout the South East, with their regulatory requirements. We offer a bespoke service for each firm to relieve the burden that compliance can bring. We have specialists for each field in Investment, Pension, Life, Mortgage and General Insurance together with in-depth knowledge and experience of Training and Competence, Treating Customers Fairly, Data Security, Money Laundering and MiFID.
We can offer:
(Based on Standard Service)
- Initial full "audit" of your work procedures, client files and related documents, business records, stationery, compliance systems, money laundering procedures, recruitment procedures, training records etc, and reporting back to you with the necessary recommendations;
- Repeat visits on a quarterly basis to include client file audits;
- Quarterly reports following compliance visits;
- Drafting relevant documentation and working practices to ensure
compliance;
- Vetting and approving financial promotions, if applicable;
- Providing advice on an on-going basis following the introduction of new FSA Rules or guidance;
- Assistance with Gabriel;
- Assistance with Training & Competence;
- Answering any queries you may have concerning compliance issues generally.
ALL THIS FOR ONLY £292 + VAT pm
subject to a maximum of 6 advisers
We also offer Treating Customers Fairly and Data Security Analysis at an additional cost.
Contact us to discuss your own bespoke service