We have a range of FCA expertise to guide Financial Services Firms through the regulatory process and client money audits
We have a wealth of experience in helping other firms through the constantly changing FCA rules and regulations.
Our client base includes a wide variety of Financial Conduct Authority from those with a single advisor firms to a small network with around 30 advisors.
Our services include:-
- Cold file reviews, ensuring that investment files are fully compliant and best practice is followed.
- Full firm reviews to ensure procedures are in line with FCA SYSC rules and regulations and that these are being followed correctly.
- Completion and submission of Gabriel forms together with guidance on documentation requirements.
- FCA authorisation work. We provide help in getting your firm authorised and help you through the FCA forms and red tape.
- Review and assessment of training and needs. Training programmes can be set up as necessary in order to ensure all advisors are fully compliant.
- Client Money Audits.
- We also offer a 52 week a year hotline service by telephone or email for any points or questions which any advisor might wish to raise in seeking guidance on a particular area of activity or bouncing ideas off us just for an unconnected third party.
- At the visits we provide one to one training in all compliance and regulations matters. In terms of specialist industry product and tax training, most advisors have their favoured sources for this and we have tended to leave that to each advisor. There are however usually some technical aspects, which we are happy to help with if requested.