SPECIALIST IFA COMPLIANCE
ADVISORY SERVICES
Founded specifically to serve directly authorised Independent Financial Advisers, IFA Consultancy take pride in offering highly professional, personal and responsive regulatory support.
For your personal, No Obligation, Initial Consultation
Call 01253 746755
30 years’ IFA and FCA
compliance experience
Initial Consultation - No Obligation, No charge
The advice and services we provide draw upon our nearly 30 years’ IFA and FCA compliance experience.
That proven pedigree, coupled with our rigorous monitoring and analysis of an ever-changing regulatory landscape, empowers our clients to best meet their legal obligations.
We are as proud of our professionalism as we are our commitment to personal service.we
IFA Consultancy serves directly authorised independent financial advisers from across the UK with both face-to-face and remote IFA compliance advice and services.
The Consultancy is headquartered in modern offices located less than half a mile from junction 4 of the M55 and only 13 miles from both the M6 junction 32 and Preston railway station.
IFA Consultancy Solutions
Enabling Best Practice
We offer a broad range of specialist services designed to enable IFAs to minimise the risk of regulatory breaches through adoption of best practice.
- IFA Compliance Audits
- Compliance Monitoring Plans
- FCA Authorisation
- File Checking
- Specialist DB Pension Transfer file checking
- Regulatory Updates & Briefings
- Provision and Monitoring of Training & Competence (T&C) Regime
- Advisor Supervision
- Dispute and Complaint Resolution (incl. Financial Ombudsman referrals
-
• Senior Managers & Certification Regime (SM&CR)
- Documentation
- Recruitment Support - Retail Mediation Activities Return Reporting (RegData system)
- FCA Compliance Related Disciplinary Issues
- Regulatory Visits and Desk Based Monitoring
- Data Security Protocols
- Template Document Library
An insider’s eye
Personal & Professional
We are as proud of our professionalism as we are our commitment to personal service.
Why not arrange your initial consultation now? There’s no charge and No Obligation.
Or Call 01253 746755
Committed to the highest professional and ethical standards, IFA Consultancy are proud members of the Association of Professional Compliance Consultants (APCC).
