Retail Advice Compliance

Our first job is to understand your business requirements, tailoring compliance support to you.

Our service then provides you with ongoing support, independent guidance and the appropriate level of oversight to ensure your firm, be it independent or restricted, has the knowledge to maintain compliance and keep abreast of regulation.

What we do not do is equally important – we do not leave you with pro forma documentation or “tool kit” and simply leave you to it.

When choosing Complyport, firms will generally take the following steps:

Initial Assessment
Your firm will be allocated the appropriate expert who will carry out an assessment.

Complyport will test current arrangements, identifying gaps (if any).

We will discuss our findings and help you build a framework that will meet FCA requirements.

If necessary, we can tailor all supporting manuals, policies and procedures.

Alternatively, for firms that require less support, our service can be light touch.

ComplyTracker
As an option, ComplyTracker is designed to reduce the administrative burden that inevitably falls upon busy staff.

The compliance management system helps firms streamline processes.

Managed efficiently and simply accessed to demonstrate clear audit trails, the system reduces paperwork and the chance of over sight.

Regular Monitoring
Complyport will help you build a compliance monitoring programme that is appropriate to the scale of the business.

We then provide, usually on a quarterly basis, an independent assessment of progress.

Expertise
Depending upon your own resources and expertise you may ask us to:

  • Help with file reviews
  • Review corporate governance and supervision arrangements
  • Review TCF procedures
  • Help with complaints monitoring or handling
  • Review Money Laundering procedures
  • Provide training support
  • Help with FCA reporting and capital adequacy checks
  • Review financial promotions
  • Provide a level of regular helpdesk support

All firms have access to our regulatory update in which we provide guidance on and analysis of key regulatory and compliance issues.

Consultancy

Our experts include advisers (Chartered level), regulators, accountants and lawyers.

Occasionally you may need specialist support to develop new business ideas or improve a particular aspect of your business.

You may be thinking of buying another firm and need specialist due diligence work.

You may simply want an opinion on a complex matter of regulation.

Firms can access our consultants on a project or hourly basis.

Please contact us on +44 (0)20 7399 4980 today for more information.

Specialist Services