REGULATION

Our priority is keeping your business compliant.

GDPR hub

GDPR hub

Launched in advance of the May implementation of the GDPR, our dedicated hub provides templates, plans and guidance to help firms ensure they are managing their responsibilities in regards of handling client data. The hub also brings together ongoing communications, videos and event coverage to provide a single point of access for all things GDPR. 

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 the 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

"Firstly a great thanks to you and all involved in making this process so painless and efficient...I am most impressed so far and will recommend to any who ask."

Steve Mountford
Staffordshire

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Latest News

"How turning a blind eye got us to where we are now"

July 18, 2018

It was not many years ago when it became virtually impossible for anyone to obtain PI cover at a reasonable premium. Such was the crisis that the then regulator, the FSA, turned a blind eye to the fact that over a thousand firms were trading without PI insurance.

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How to help clients create a lasting power of attorney - CPD article

July 16, 2018

Buzz Aldrin’s recent decision to sue his family for mismanagement of his finances has, quite rightly, reminded advisers across the pond that those appointed to make decisions on a client’s behalf need to be selected with the utmost care.

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Global markets are set up for stock pickers, say industry heavyweights at SimplyBiz Group Advice Show

July 10, 2018

Geopolitical changes are creating the ideal investment environment for stock pickers, according to industry experts speaking at the most recent Advice Show.

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"Hello, have you been mis-sold an accident claim?"

July 05, 2018

I am sure you will have been delighted to note that, at long last, the Financial Conduct Authority (FCA) is going to formally regulate the ambulance chasers.

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