24th October 2018

FCA Compliance Support

Our experience means we can assist you in a number of ways such as: –

  • Client file checking
  • Review of the advice process including OPS transfer advice
  • TCF
  • Collating management information
  • Project Work
  • Recruitment of advisers
  • Complaint Handling
  • Conduct annual audits
  • Systems & controls (SYSC) Meetings
  • Review and/or write business continuity plans
  • Data security review
  • PowerPoint training on Data Protection, Complaint Handling, Anti-money laundering, The Bribery Act and Conflicts of Interest
  • Review of disclosure documents
  • Review of recruitment procedures

We provide a number of offerings, with visit schedules tailored to your exact needs. For those firms who just want a resource to refer compliance queries to and receive compliance updates, we offer a service for then too

Fundamentally though, when we come to visit you, the day is yours, so if you need us to focus on other areas not on the agenda, then we will adapt accordingly. We are here to make your life easier, not be a compliance burden.