We can provide solutions to IFAs, Product Providers, Mortgage & Insurance Intermediaries

Ongoing Compliance Consultancy & Support On any or all aspects of your firm’s Compliance/T&C functions.  Monthly, quarterly, half-yearly & annual programs tailored to your firm’s needs.

Comprehensive General Audits Including the Compliance, T&C, Recruitment, Personnel, Financial Promotions, Complaint handling, Sales, Management, Record Keeping, Systems & Controls elements of your firm’s operations.

Risk Audits and Compliance “Health Checks” Covering your firm’s principal risk areas and focussing on any Compliance related weaknesses within your firm.

Support with Specific Projects Undertaking or assisting in any necessary Compliance or T&C work for which your firm has insufficient internal expertise or resource.

Impartial Complaints Handling Undertaking the investigation, assessment and settlement of complaints & claims against your firm, including liaison with FOS, PI Insurers and the FSA.

Secure Downloads  We offer our clients a secure area from where they can download bespoke material   tailored to their specific businesses.

Due Diligence Checks Covering all aspects of any businesses your firm may wish to acquire or be associated with.

Financial Promotions Handling Including drafting, vetting and impartial assessment of your firm’s financial promotions material.

Training and Competence Including drafting, implementation and Audit of your firm’s T&C Scheme.

Compliance Training Procuring or providing general or focussed Compliance training for your staff.

Support for FSA Themed/Arrow Visits Including pre-visit preparation, post-visit remedial work and “skilled-persons” (S.166 FSMA) projects under FSA supervision.

Support on Regulatory Discipline and associated Legal Action Including direct access to specialist barristers and solicitors in the financial services and related fields.

Provision of “Locum” Assistance   Cover for temporary absence/illness of key Compliance staff.

Provision of Expert Witnesses To assist with expert evidence in claims your firm is either prosecuting or defending.

Drafting and Implementation of Procedures / Documentation To strengthen your firm’s systems and controls, internal management and record keeping obligations.

Business Development & Restructuring Including direct access to financial services HR and management consultancy specialists.

Assistance with FSA Authorisation Including preparation for, and supervision of the Application process and provision of the necessary procedures, documentation and aftercare.