Complete Compliance
Complete Compliance is our most comprehensive package
of FCA compliance advice and support.
Effectively a turnkey service, it incorporates every element of our regulatory consultancy services.
It’s designed to provide IFAs with all the tools they need to meet their statutory responsibilities under the FCA’s various regulatory protocols.
As such it embraces the design, implementation and maintenance of a wide range of systems and controls.
This enables and eases compliance with an array of rules and regulations. Our service covers all the measures that help IFAs with their compliance, from file checking to recruitment and from policies to training.
It helps IFA firms meet the detailed requirements of the FCA Code of Conduct and includes more specific protocols such as the Senior Managers and Certification Regime (SMCR).
Best practice, best for business
Better still, Complete Compliance has been conceived to assist IFAs in achieving best practice across the entirety of their regulated operations.
Best practice is best for business. It goes beyond satisfying the regulator. It protects and burnishes brands, enhances client retention, aids recruitment of the best talent and boosts productivity.
The Complete Compliance Package
IFA Consultancy’s Complete Compliance FCA regulatory advice and support package includes:
- FCA Authorisation - Read More
- FCA Compliance Audit - Read More
- SM&CR - Read More
- FCA File Checking - Read More
- FCA RegData submissions
- Assistance in the event of Regulatory Visits and Desk Based Monitoring
- FCA Compliance Related Disciplinary Issues
- Advice on FCA form filling
- Training advice and resources - Read More
- Regulatory Updates, with custom briefings - Read More
- Provision and Monitoring of Training & Competence (T&C) Regime
- Advisor Supervision, including Risk Assessment
- RegData Reporting
- Dispute and Complaint Resolution (including Financial Ombudsman Referrals)
- Data Security Protocols
- Document Template library
- Face-to-face and remote services