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

"In a world where people are ready to complain at a drop of a hat, I just felt it was appropriate to give credit where credit is due and on the whole I feel that SimplyBiz do a very good job."

Lawrence Hayward
Leicestershire

Read More

Latest News

Over 2000 users adopt The SimplyBiz Group's Centra system

October 10, 2018

Over 2000 users adopt The SimplyBiz Group’s Centra system

Read more >

60 apprentices now enrolled on NMBA apprenticeship scheme

October 03, 2018

Another 20 budding financial advisers are now making their way through the NMBA apprenticeship programme 

Read more >

A Robust, Compliant And Efficient Advice Process: FTRC's Independent Review Of Centra

September 30, 2018

In September this year, we commissioned an independent review of Centra by Ian McKenna of the Financial Technology Research Centre.

Read more >

A little more conversation AND a little more action please!

September 26, 2018

Why Ken Davy believes that access to information is just as vital as access to advice

Read more >