IFA Compliance Support

Whether it is our Foundation Support or our full-on Bespoke Support we will aim to take the stress out of compliance allowing you to concentrate on providing the best service to your clients.

Our support service starts at just £140 + vat per month for our foundation level

Foundation Support

Do you have in house Compliance Support? Are you simply looking for more hands-on Compliance, some little help with those day-to-day queries?
Have a look at what our Foundation service we can offer you.

Helpdesk support via telephone and email

Monthly Newsletters

CPD day invitations

Financial Promotion reviews

Access to the CATS HUB including the Training Zone & Template site.

Webinar Invitations which are FREE to attend

Workshop Invitations (Further charges apply)

Ad Hoc File Reviews (Further charges apply)

Bespoke Support

If you are looking for that all-encompassing support, then this is for you. This is where we really come into our own and can make a huge difference to your business. This is a fully bespoke service tailored specifically to your requirements. We can do it all and become your inhouse compliance department/team, taking care of all your compliance fully. We cannot hold the Senior Management function, but we can do everything else. Some of the areas your dedicated consultant can assist you in are:

Skills Training

Supervision of trainees

Adviser one to one’s

T&C including KPI data

Annual Audits

Annual compliance reports

Complaints Handling

Regular File Reviews

SMCR Support

Assistance with recruitment & induction for new team members

REGdata returns

Connect applications assistance such as: Variation of Permissions, The Directory of Financial Service Workers, Annual Firm Attestation

We Provide

Expert Guidance: Our experienced team will guide you through the process and provide the necessary assistance to maximize the value you receive from our services.
Affordable Pricing: Engage with our services and support starting from just £140 + VAT per month for our Foundation Support package.
Flexible Options: We offer various ways to cater to your needs, including customizable Bespoke Support solutions for a more hands-on approach.
Comprehensive Support: Benefit from our range of support services designed to meet your specific requirements.
Cost-Effective Solutions: Our pricing structures ensure that you receive value for your investment, making our services accessible and budget-friendly.
Tailored Approach: We understand that every client is unique, and we are ready to tailor our support to fit your specific business needs.

Our Client's views..

We have been using CATS services for several years. Part of our business was bought by a very large company with their own compliance dept, but they retained CATS services because of their knowledge of the business and reliability.

We continue to use CATS for the retained part of the business because they operate as an extension of our own staff.

They always have our best interests at the heart of everything they do for us.

Ann Woolfe

Corinthian Benefits

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