SimplyBiz Enhanced compliance

Simply Enhanced Compliance is here to advise – not prescribe!! Our enhanced compliance service gives you access to additional specialised compliance assistance across a wide area of business related needs.

To obtain additional compliance help whether you need it once in a blue moon, or more regularly, simply ask.

Compliance support for conduct of business rules:

on-site file assessment visits
desk-based file assessments
themed investigations to suit your requirements
extra compliance visits

Training and Competence Support:

competence assessment
initial training of new advisers
supervisor assessment and workshops (on a group or individual basis)
technical training in a group presentation which will contribute to your CPD

Training and Support to assist you in complying with Money Laundering regulation:

a training day (group or individual basis)
assistance with the completion of the MLRO’s annual report

Support in line with the FSA Supervision guidelines:

conceiving and executing a risk assessment plan
bespoke disaster recovery planning
design and implementation of a compliance monitoring plan
guidance with the skilled persons reports

With regard to complaints handling we can provide:

complaints investigation service
settlement calculation

As part of our Approved Person Regime service we will also provide help with recruitment procedures and access to credit and CRB referencing.

Simply Enhanced Compliance costs just £500+VAT a day (including travel expenses). Part days will be charged accordingly.

Where practical, we will be happy to provide an estimate for any work to be carried out.