How to join Compliance First

To join Compliance First please call 0141 433 8214.

Once you’ve provided us with some details:

  • One of our experienced consultants will arrange a date convenient to you to meet you and determine how we can ensure you get the best from Compliance First’s services. This introductory visit is your opportunity to take advantage of our expertise and to identify where we can add additional value in your practice.
  • If you’re currently an appointed representative with a network we’ll guide you step by step throughout the FCA’s authorisation process, ensuring your application is of the highest standard and we’ll act as a liaison between you and the FCA to ensure your application is processed as efficiently as possible. We’ll provide practical advice on the best company structure to suit you and ensure you have all the requirements in place for a successful application.
  • As a directly authorised firm, we will arrange your first visit, discuss in detail our benefits and deals and provide you with enhanced rates of commission. Our agencies team will set up the majority of the agencies to ensure any commissions you have earned are paid directly into your bank account.
  • Within ten days of joining you’ll have access to all the complimentary tools that come as part of your association with Compliance First.
  • From day one you can access the technical helpdesks.

Testimonials

"Due to the ever increasing complexities involved with regulatory issues, it is now almost impossible to operate efficiently without the support of an excellent compliance consultancy firm. Thankfully, I have been a member of Compliance First for over a decade and they have provided excellent support services. Not only have they helped Knightsbridge Wealth Management with important compliance issues, they also provide regular professional development events. They have supported my business in so many directions. This include contacts for legal services, professional indemnity insurance, investment services and software support. In conclusion, I can highly recommend Compliance First to any forward and progressive IFA firm seeking support services."

John McClelland
Chartered Financial Planner
FCII, FPFS, Certs CII (MP & ER)

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