We offer a unique compliance service, focussed on the governance, culture and controls within your business.
Our FCA-approved Compliance Framework gives you 24/7 access to Key Performance Indicators and regulatory documents that evidence your firm’s value proposition. This not only helps you manage your business, but also gives you direct access to the details the FCA may request for regulatory returns.
Providing 6 and 12-month audits, enables us to concentrate on the culture of your firm and the consumer outcomes it drives. A selection of case reviews and document health checks complete the audit to ensure your business complies with FCA guidance.
You will also have access to our unique Annual Suitability Review technology, which streamlines annual reviews by gathering information from clients for you and notifying you of the outcome. This enables you to provide financial advice to those that need it and a fully automated suitability report for every client.
Our modern approach to training includes regular webinars, online tutorials, in-person seminars and specialised masterclasses.
In addition, our highly qualified experts are always available for technical help, guidance, and advice on all compliance matters.