5th May 2021

IFA Compliance Support

We offer many ways for you to engage with our services and support starting from as little as £125 + vat per month for our ‘Foundation Support’ to our fully bespoke support, should you be looking for something a little more hands on.

FOUNDATION SUPPORT
  • Monthly Newsletters
  • CPD day Invitations
  • Financial Promotion Reviews
  • Access to our Template & Document suite
  • Webinars
  • Helpdesk Support via Dedicated Phone & Email
  • Ad Hoc File Reviews*
  • Access to our exclusive Training Zone on the CATS HUB which includes:-
  • – Annual Knowledge Tests
  • – Presentation with tests for subjects including AML, Complaint Handling, Data protection and much more
  • £110 Per month + vat
  • *Charges apply

BESPOKE SUPPORT
Everything in ‘Foundation Support’
plus the following: –
  • Monthly, Quarterly, Annual visits/days.
  • Annual Audits
  • Complaints Handling
  • Regular File Reviews
  • REGDATA returns assistance
  • Skills Training
  • Supervision of trainees
  • Adviser one to one’s
  • T&C including KPI data
  • Dedicated consultant
  • Succession Planning
  • SMCR Support
  • Assistance with recruitment & Induction for new team members
  • Connect application assistance such as: –
  • – Variation of Permissions
  • – Change of control
  • – The Directory of Financial Service Workers