REGULATION

Our priority is keeping your business compliant.

People and Expertise

People and Expertise

From our expert policy team to our pensions technical helpdesk to our field compliance consultants, SimplyBiz employs the best talents of the industry. You can rest assured that our experienced team are wholly dedicated the compliance of the firms we service. We also have high levels of staff retention, which means our team will build a strong understanding of the systems and processes of your firm.

Compliance Documents

Compliance Documents

Written by our expert policy team, our comprehensive compliance document library covers both client facing and the operational side of your responsibilities. Whenever the FCA updates its guidance, we amend our documents centrally so you’re always up to date. We can provide a readymade compliant operating model for you to adopt, or you can use our compliance frameworks to build you own.

Compliance Helpdesk

Compliance Helpdesk

Whatever your query, our expert compliance helpdesk are on-hand to provide detailed guidance. Covering GABRIEL, financial promotions, disclosure documentation and a wide range of other areas, the helpdesk is your first stop when engaging our support. Our helpdesk consistently receives outstanding feedback and the team are dedicated to providing the highest standard of support. 

Pensions Helpdesk

Pensions Helpdesk

Providing specialist advice on all HMRC, DWP and FCA aspects of pension related issues, the pension technical helpdesk support our Members on all things pensions. Other specialties include SIPP/SSAS, carry forward, overseas residents and pension transfers. For firms advising in complex pensions and technical areas, the helpdesk is an invaluable resource. 

On Site Visits

On Site Visits

To ensure continuity in your relationship with us, you will be assigned a dedicated compliance manager in your area. You direct the agenda for compliance visits and you will receive a detailed post-visit report with recommendations where applicable. Your compliance field officer can also provide additional support before and during any meetings with the FCA.

File Checking Service

File Checking Service

Giving our Members added peace of mind, our file checking team offers detailed guidance on your client files and advice where required. Completed by our expert technical team, you can submit investment, pensions, protection, general insurance and mortgages files for our review. For urgent cases, we also offer an express service in case you need files reviewed quickly.

Regulatory Bulletins

Regulatory Bulletins

Whenever the regulator issues new guidance, we provide a plain English summary with information on any action you need to take direct to your inbox.  We also place all past compliance bulletins on the SimplyBiz Member website, so you can review our communications as required. Compliance & Technical Times covers general regulatory issues while Pensions Update is our review of recent pension matters.

Testimonials

"SimplyBiz has an excellent website offering SL templates and many benefits, plus their technical departments are really helpful. Furthermore the members meetings and technical workshops are of great benefit, especially for the one man band IFA who has little contact with the rest of the industry."

Larry Bignell
Boldon

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Latest News

SimplyBiz to launch end-to-end investment advice system

January 19, 2018

SimplyBiz Group is to launch an end-to-end financial planning system, Centra, to provide support to advisers throughout the investment advice process.

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"Product providers can help reduce the FSCS levy"

January 17, 2018

I make no apology for returning to the subject of the Financial Services Compensation Scheme (FSCS), as the deadline for responding to the Financial Conduct Authority's (FCA) consultation paper is the end of January.

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Adam Tyler to lead new trade body FIBA

January 15, 2018

The Financial Intermediary & Broker Association, which evolve from the Association of Bridging Professionals, has appointed Adam Tyler as its Chairman.

 

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"It's time to put pen to paper on the FSCS levy"

January 10, 2018

The first thing I want to highlight is the opportunity you have right now to help stop the grotesque injustice of the current system of Financial Services Compensation Scheme (FSCS) funding.

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