About Us
30 years’ IFA and FCA
compliance experience
For Your Personal, No Obligation, Initial Consultation Call 01253 746755.
IFA Consultancy was founded in 2004 specifically to provide specialist IFA compliance support services to directly authorised independent financial advisers.
Demand for our expertise has grown alongside the increasing regulatory burden faced by IFAs.
Typically we serve SME retail firms by providing a highly informed and responsive outsourced compliance service. Think of us as an on-demand and extremely cost-effective ‘Compliance Department’.
IFA Consultancy’s clients span firms with existing Financial Conduct Authority (FCA) registration as well as those new to regulation.
In addition to IFAs we also provide compliance consultancy to other regulated businesses such as insurance and mortgage brokers.
An insider’s eye
IFA Solutions
How Can We Help?
- On demand IFA compliance consultancy services.
- Delivery of remote services, such as policy writing and file checking.
- Provision of monthly or quarterly reporting and regulatory updates.
- FCA Compliance Audits.
- FCA Authorisation pathways.
- Senior Managers & Certification (SM&CR) Regime, training, guidance and support.
- Training.
- Access to specialist document library
- Regulatory visits.
- Provision of Monitoring of Training & Competence (T&C) Regime.
- Commitment to personal service, always led by our principal consultant.
Our Professional Association
Committed to ethical and professional excellence, we are a member of the Association of Professional Compliance Consultants (APCC).
The APCC seeks to actively enhance the professional standards of compliance consultants. It fosters liaison with the FCA, provides its members with regular technical briefings and further promotes best practice through adherence to the association’s core principles.
These embrace integrity, competence, objectivity, professional standards, confidentiality and good repute.
