Bespoke Compliance

Regulatory support to match your needs.

Introductory & consultation visit

Introductory & consultation visit

As part of your Introductory & Consultation Visit, we work together to fully understand your needs and how our support can ease the regulatory burden upon your firm. We will identify areas of priority, or any areas of concern, upon which you would like us to focus our support and guidance.

On-site visits

On-site visits

A compliance consultant will work with you to agree an area of focus in advance of your visit and provide a detailed report outlining any actions you need to take. Our compliance consultants can also be available before FCA visits and provide representation on the day, if required.

Document Hub

Document Hub

Our compliance document hub holds client facing documentation, including client agreements, fact find templates and suitability reports - everything you need to ensure the advice you provide follows a robust and compliant process.

Compliance Services Unit

Compliance Services Unit

Our Glasgow-based CSU carries out file reviews, which offer an additional level of confidence that your business is meeting regulatory standards, and provides you with an overview of advice quality. Post-review, the team will send you an individual report containing comments and suggestions and, where necessary, recommendations for improvement.

Pensions Technical Helpdesk

Pensions Technical Helpdesk

Covering all aspects on pensions legislation, our highly skilled technical team handle queries relating to HMRC, DWP and FCA regulations. Specialties include SIPP/SSAS, carry forward, overseas residents and pension transfers.

Training and Competence Scheme

Training and Competence Scheme

Our T&C Scheme Management is a comprehensive service to monitor the development of your staff and includes KPI collation, analysis and review, training needs analysis, CPD monitoring, knowledge testing and development action plans.

Regulatory Bulletins

Regulatory Bulletins

Our compliance updates are delivered straight to your inbox and provide a plain-English summary of the latest regulatory news from the FCA, as well as guidance on any action you need to take. 

Testimonials

“When I decided to go directly authorised to the FCA in February 2014 I looked at many Compliance services providers and decided on Compliance First for a number of reasons. Firstly, they were recommended by another IFA who had been happy with their services for over 5 years. They were welcoming and professional from my first contact and laid out their proposition which met my needs. Costs was also important and comparably, pound for pound, I felt they were very reasonable for what they offered. They advised and assisted me with my application from start to finish, and I was authorised within 11 weeks. Since authorisation, they have been very supportive and helpful. I receive two visits per year which are very comprehensive and provide me with great comfort for my business. Their Technical desk is very knowledgeable and always helpful. When it comes to the dreaded and  laborious Gabriel Returns, they are invaluable and very patient - a virtue which I test every six months. I would highly recommend to anyone, whatever the size of their business.”

David Macfarlane
DVelop Wealth Ltd.

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