Our services include:

Drafting Compliance Documentation

We can help with drafting all types of documentation from Compliance Manuals and T&C Schemes to Financial promotions and breach registers.

Senior Management Systems & Controls

This is an area that is often overlooked by small firms. Do you have systems & controls in place that are appropriate to your business? We can help develop and implement appropriate controls to help protect your business.

Training & Competence

Does T&C take up too much of your precious time? Are you busy observing your advisers when you could be advising yourself? Allow us to relieve you of the burden. From designing a bespoke T&C Scheme to conducting observations and helping with appropriate CPD.

File Reviews

This is an area that IFAs are looking for support with especially when it comes to eradicating the chances of future complaints. We can assist with suitability reports and training paraplanners to produce compliant TCF friendly reports.

Document Templates

Ongoing clients have free access to our members area which provides you with free downloadable templates. Examples include: Compliance Manual, T&C Scheme, Suitability Reports, Risk Register...

Regulatory Updates

Regular updates on the ongoing changes that occur within our regulatory environment and tips on how to implement them.

TCF

TCF should now be embedded within your business and be part of your everyday operations. We can ensure that your business is TCF compliant.

Procedures

We can assist in the design and production of procedures whether they are new or simply updates to existing procedures.

FCA Reporting

Make FCA reporting easier by having the right systems in place to collate your data for you. We can also assist with the submission of your RMAR.

Monitoring

We have the expertise and experience of developing risk based monitoring plans which can either be targeted to one particular area or a full risk based plan over a 12 month period allowing for changes and updates in regulation. We also offer a one off monitoring exercise to give you an independent assessment of your current systems and controls. Based on our findings and our knowledge of industry best practice we can help you develop and implement simple cost effective solutions to mitigate any identified risks.

Anti-Money Laundering Training

Are your staff fully trained and regularly updated on regulatory matters such as Anti-Money Laundering (AML) / Counter Financing of Terrorism (CFT)? From AML / CFT awareness and introductory skills based training through to more in depth sessions our programmes are designed to help ensure your staff (advisers and administrators) have the necessary skills and knowledge to perform their roles correctly and effectively.

We would be pleased to discuss your training and development needs and can tailor training specifically to address your needs. However, to assist cost control, we have "packaged" the most frequent requirements into a two stage level of service, namely:

1. Face to Face - Training provided by an experienced trainer who has provided Anti-Money Laundering / CFT training to financial services institutions internationally and in the UK and who has drafted and implemented AML/CFT regimes internationally. This training covers full explanation of the legislative framework and implementation standards required, risk issues, latest developments in ML, TF and a reminder of individuals obligations and the vital role staff play in maintaining the defences and integrity of your organisation.
2. Training material - provision of training materials and assessment paper for use with your staff

Complaint Handling

Unfortunately complaints are part and parcel of our industry and in the modern world that we live in they are not going to go away. We will make an independent assessment as to whether a complaint has any merit or not and either advise you how to deal with it or can undertake all correspondence on your behalf. We can also help identify and eradicate the root cause of any complaints received.

Financial Promotions

Are your marketing materials complying with the TCF principles? We can help you through the minefield that is the Financial Promotions rules.

Recruitment

Do you have recruitment procedures? We can provide you with a tailored recruitment process to suit your business. We can also take away the stress of getting a new adviser from trainee to competent status.