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

Our best decision in financial services (25 years) was to move to Compliance First.

Assistance with direct authorisation was of great value. In our first 12 months, we had two service calls and both were more productive than the old style network meetings. We received fantastic support on our first Gabriel report, so much so that we were able to complete the second on our own.

During any calls to Compliance First, we are left with the impression that they are genuinely there to help. Having traded for 12 months directly authorised, we have saved in excess of £8,000 when compared to the costs of a network, going LTD also saved in excess of £5,000. What’s not to like?

Richard Brodie
Active Asset Management (Scotland) LTD

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