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Directly Authorised compliance services

Tailor the services you require to the needs of your business

Choosing the right compliance service 

You may know precisely what you need of a compliance support service, equally, you may not know what you really need. Either way, talking through your business practices or future aspirations with us will help us select the right service for you and may also highlight any exposure.

From business purchase/sale or setting up a new business, right down to occasional file checks, there are many services to choose from. 

An "off the shelf" offering may well be sufficient but equally, taking that route could actually expose you to a risk, so taking time to consult with a provider would be a valuable investment of time. Whilst we are not a compliance support service, we will help you find the right one for you to consult with. 

Understanding your responsibilities as laid down by the regulator is obviously key. You may feel you already know all the responsibilities, but there is no harm in revisiting the following;

Establishing complaints procedures

Training & Competency assessments for all new and existing advisers

CPD and Statements of Professional Standing programs

Written business procedures with management information reports available for all key metrics

Senior Managers Certification Regime (SMCR) 

Client review standards and criteria 

Research processes and compliant suitability reports 

Adequate systems and controls (SYSC) 

File competency and recorded advice standards

A strong compliance service offering, can give you virtually everything a network offers but you keep more freedom, however, the buck stops with you, it is your responsibility. 

There are propositions that will offer you ad-hoc services for a specific issue or item, such as complex file review or FCA DA application. There are also more in-depth services that will offer dedicated compliance professional for regular reviews and on call for you as and when required. Your need may well be something much more substantial, such as a business purchase or sale, this can be catered for in a consultation with a quality provider, the benefits of this may be immeasurable, so well worth the financial and time investment.

Where any of the services are concerned, price is not the right metric by which to measure. Certainly value, but where the long-term existence of your business, reputation and your clients well being are concerned, why would you cut corners or expose yourself to falling foul of the regulator, or even litigation for the sake of a few pounds? 

Listed below are some of the elements which you could consider obtaining support services on, either as a one off consultation or on-going support. 

FCA application preparation and submission

Regulatory registers

Compliance and marketing templates

Systems & Controls (SYSC) set up

SYSC audit (one off or annual) 

File reviews

Promotional material and stationary review

Business risk assessments

Training & Competency scheme set up

T&C audit (one-off or audit)

Business acquisition audits

Business sale audits and preparation

Recruitment services

Centralised Investment Proposition (CIP) review

Retail Mediation Activity Report (RMAR) submission support

CPD events


Capital adequacy calculations and advice

Senior Managers Certification Regime (SMCR)

Training and certification 

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