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 covering 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 our 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;
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Repeat visits on a quarterly basis to include client file audits;
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Quarterly reports following compliance visits;
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Drafting relevant documentation and working practices to ensure compliance;
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Vetting and approving financial promotions, if applicable;
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Providing advice on an on-going basis following the introduction of new FSA Rules or guidance;
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Assistance with Gabriel;
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Assistance with Training & Competence;
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Assistance with Treating Customers Fairly Analysis;
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Answering any queries you may have concerning compliance issues generally.
THE COST FOR OUR STANDARD SERVICE IS ONLY £292 + VAT pm (subject to a maximum of 6 investment or mortgage advisers)
We also offer Data Security Analysis at an additional cost.
We also offer a comprehensive health check service covering the following:-
The audit will focus on the following areas:-
Governance and Strategy
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Management structure
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Allocation of responsibilities
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Risk management procedures
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Documentation status (operating and compliance manuals, etc)
General Compliance
Customers
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Treating Customers Fairly
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Customer records
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Product Providers
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Products – services sold/advised on Sales/service procedures and records
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Marketing and financial promotions
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Complaints handling and records
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Claims handling and administration (General Insurance Brokers Only)
Capital Resources and Financial Management
Personnel Matters
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Remuneration policies
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Training and competence
We do not tie our customers into contracts and there are no strings attached. Contact us to discuss your own bespoke service.