Bespoke Compliance

Regulatory support to match your needs.

Regulation is at the heart of our business and we now provide more support and guidance to directly authorised advisers than anyone else.

Our vast experience and array of expertise enables directly authorised firms to operate with confidence.  Whether it’s through our helpdesks, regular bulletins, or events, we will always talk to you about compliance in plain English and tell you exactly what regulation or policy change means for you and your clients, and in turn, what you need to do to remain compliant.

Our centres of excellence pool the very best in regulatory support, ensuring you have everything you need to run a successful and compliant business, including:

  • Compliance technical helpdesk
  • Pension, tax and later life helpdesks
  • Filed based audit team
  • Specialist file checking unit
  • Regulatory based training programme
  • Ongoing communications through events, bulletins and website
  • Comprehensive operating centre with an array of documentation
  • Further specialist units covering DB transfers, credit checks, criminal records and more

In addition, Compliance First is at the forefront of change and, through our close working relationship with the regulator, we consult on policy and ensure that the voice of the adviser is heard.

Complimentary support

We know that recent circumstances have led many businesses to take stock and review how they operate, and to ensure that they have the right support to run a sustainable business. That’s why our enhanced regulatory support in key areas, including DB transfers and suitability of advice, includes a host of complimentary support guides to help you and your business. We would be happy to share these with you.

 

Communications

Communications

Whenever the regulator issues new guidance, we provide a plain English summary, with information on any action you need to take, direct to your inbox.  We have a library of all past compliance bulletins on the website, so you can review our communications whenever necessary. Our regular Compliance and Technical Times newsletters cover general regulatory issues, whilst Pensions Update is our review of recent pension news.

Regulatory Reporting and Notification Guide

Regulatory Reporting and Notification Guide

Keeping on top of both the when and how of regulatory reporting can be a real drain of time and resource. Our interactive guide will assist your firm with its FCA reporting and notification requirements. In addition to outlining each requirement, it provides direct access to the correct area of the FCA's site, as well as to the breadth of supporting material and guidance from SimplyBiz, at the click of a button

Documentation

Documentation

Written by our expert policy team, our comprehensive compliance document library covers both client facing and the operational side of your responsibilities. Whenever the FCA updates its guidance, we amend our documents centrally so you’re always up to date. We can provide a readymade compliant operating model for you to adopt, or you can use our compliance frameworks to build you own.

Specialist Support

Specialist Support

Across Compliance First, we have over 100 dedicated compliance specialists, ready to support you. As you can imagine, this adds up to centuries of experience and hundreds of qualifications. Therefore, no matter how obscure or specialised your question or needs, one of our team will be able to help.

CIP

CIP

Backed by the full support and professional experience of Compliance First Policy and Compliance Technical Teams, and with over 200 reviews of advisory practices already delivered, our Business Consultancy Teams are ideally positioned to help you create, document, and implement your CIP.

Our consultancy team have designed a host of easy-to-use and compliance approved Risk Controlled supporting documentation, all of which is made available to Compliance First Clients.

SM&CR

SM&CR

At Compliance First we provide significant support to our Clients to ensure they have the very best support on hand to help them through the transition. This support, like the Regime itself, is ongoing. Our guides are written by our expert policy team, our documentation provides a wealth of information on all aspects of the Regime, and the teams managing the supporting services are well placed to be able to offer support across all firm types and scenarios. 

DB Transfers

DB Transfers

Client interest in the entire range of retirement solutions available to them remains unabated, and DB pension transfer advice continues to be worth consideration for many. We understand that providing a robust and reliable service in this space can prove a challenge to advisers, and we have therefore built a solution to help them meet this demand from clients.

Our Pension Transfer Bureau offers an outsourcing solution to advisers who are either unable to, or choose not to, operate in the defined benefits transfer market, but still want to meet the needs of their clients in this area. Our panel is made up of eight fantastic firms, all staffed by highly qualified specialists with years of experience. We have completed thorough due diligence on each partner and feel certain that we have a strong range of options for firms who wish to refer pension transfer cases

Consultancy

Consultancy

Our Regulatory Consultancy Team can offer a wide variety of bespoke compliance solutions to support your firm in meeting its regulatory obligations. They are an experienced, highly qualified team located, able to assist you in supporting your business needs and meeting Financial Conduct Authority expectations.

Our compliance visits are designed to give you peace of mind that your firm's compliance arrangements and systems and controls are both compliant and in good operational order and can be conducted in person at your office, or virtually if you prefer.

Vulnerability

Vulnerability

We have seen the issues of vulnerability compounded over the past few months and no matter how long you've worked with some of your clients, it can often be difficult to broach the subject, and then knowing how to deal with it in the right way once identified.

With increasing attention from the regulator, and the need to adequately protect both you and your clients, it's never been more important to have - and follow - vulnerable person policies and procedures. For this reason, we launched a breadth of support in this area, including a hub continuing information and guidance and events, and we have partnered with leading providers and charities to provide extended solutions.


All of these services are designed to further enhance your proposition and in the main, are brought to you complimentary or at reduced rates.

For more information on how Compliance First can help your firm achieve its goals, please speak to our team on 0141 616 4161. Alternatively fill out the below form and we will be in touch soon.

Testimonials

"The assessment went well and thanks for your support – it helped. I felt better prepared and happy that with the support of Compliance First my business is TCF focused."

Iain Armour
Armour Financial Services Limited

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