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Got it!Reduce risk, improve consumer outcomes
Increase knowledge, build capability
Embed consistent methodologies, increase efficiencies
Need clarification? Our helpdesk teams are ready to answer your queries on FCA, DWP, and HMRC rules and regulations.
If you’re interested in becoming directly authorised, we’ll support you at every stage. We’ve helped more firms make the move than anyone else, processing over 150 applications per year.
Stay up to date, with alerts whenever the FCA issues regulatory papers. We’ll explain it in plain English and give you guidance and best practice on any actions.
Use our compliant templates for suitability and client reports. And consult our hubs for expert guidance on key topics, including consumer duty, vulnerable clients and the Senior Managers & Certification Regime (SM&CR).
Know you’re maintaining high standards with pre- or post-sale file reviews from our Advice Quality team. We’ll provide gradings, highlight any issues, and suggest appropriate remedial actions.
Make sure your systems and controls are suitably resilient with our suite of regulatory audits and compliance support days, either on-site or remote, built around your needs.
Meet your regulatory requirements to assess the ongoing competency of your advisers, with our training and certification services, tailored reviews and supervisor courses.
Make sure you’re operating in a compliant manner. We’ll review your charges, value statements and client agreements to make sure they’re clear and fair.
Get practical recommendations to meet and evidence your consumer duty requirements, across all aspects of your proposition, processes and documentation.
Have confidence that your centralised investment process (CIP) or centralised retirement process (CRP) meet regulator expectations. We’ll help you design, document and install your CIP, and train staff if needed.
Lines are open between 9am-5pm, Monday to Friday.
Contact our sales team to learn more about our membership options.
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