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.
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.
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.
File Review Unit
Our Glasgow-based File Review Unit 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
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 Competence & Certification Service
Our Training Competence & Certification Service 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.
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.