Compliance support services

Our Compliance Support Service is designed to help run your business within the constraints of the regulatory regime.

The low cost Compliance Support Service covers all the key areas, as listed.

Initial Assistance

If you are making an initial application to the FSA we will, of course, assist with that process. Importantly we will provide you with a comprehensive Compliance Monitoring Plan - this will be required by the FSA as part of your application.

However, whether you are applying to the FSA for the first time, or if you have already done so, we will carry out an initial visit and provide a report on our findings.

Support Package

• Production and upkeep of compliance and T&C manuals
• Regular compliance and T&C bulletins to keep you up to date
• Guidance, advice and templates for:
  • Compliant sales procedures and the Training Competence (T&C) scheme
  • Review of all relevant procedures
  • Complaint handling procedures
  • Advertising procedures
  • Recruitment procedures
  • Locum arrangements
  • A telephone based help-line (although you can e-mail your questions)
  • Checks on files to see that they meet the regulator's standards and recommendations for any amendments that may be required
  • An initial visit to your office to review and advise on your procedures
  • An annual visit to your office to review and advise on your procedures (optional)

File Checking

We check a number of files each month. This helps assess whether the files you keep will pass any FSA examination. In addition the check looks at whether the file will enable you to successfully defend any potential complaint.

We are all busy people and sometimes we do forget to incorporate any changes required by the FSA or we may miss an important note in a compliance bulletin. A file check should bring such things to light.

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