Facts & Figures
Professional Development Events
We hosted 6 rounds of our PDE across 6 venues in 2019 – extended to 7 rounds in 2020.
To make our support easily accessible and to focus on the key matters in your area, locations visited are Belfast, Durham and four locations across Scotland
Personal Development (CPD)
We welcomed 1,375 attendees to our series of events during 2019 and provided 23 hours of CPD for those attending one event in each round, meeting all your required
Regulatory change support - SM&CR
We completed a full program of events in support of the initial implementation of SM&CR into our Client Firms processes. This included face-to-face, conduct rules training and web-based workshops as well as desk based reviews and a dedicated consultants visit plus a significant support area on the client website.
Our Compliance Support Team completed 5252 file reviews during 2019 - plus 437 Defined Benefit file reviews – an increase of 15% on 2018, demonstrating the true value our Clients receive on a regular basis.
New joining firms
Of the new firms joining Compliance First in 2019, over 72% opted for more than one regulatory consultancy visit from their dedicated Compliance Consultant from the outset.
Bespoke training sessions are available and are regularly delivered to meet our Client Firms’ needs and requirements. Ask for details of the programme.
Our Compliance Consultancy team made over 1,000 visits to provide onsite support and advice with our Client Firms
Almost 23,000 Fit and Proper checks were completed in 2019 by our Business Support team, ensuring our Client Firms are meeting their regulatory requirements in respect of the required checks within their adviser and management complement
Training and Competence Service
More and more firms explored and implemented our Training and Competence Service. As key elements and requirements of the Senior Manager and Certification Regime are covered by this service, we expect 2020 to be another strong year