Do you need help in making sure that you
Who we are & What we do
We are a small local consultancy with 20 years experience
We are specialists in providing a broad range of compliance services to IFAs, General Insurance Brokers, and Mortgage Brokers.
Our focus is on businesses authorised and regulated by the Financial Services Authority (FSA), and firms wanting to be authorised.
We work with you initially to establish the right level of service needed and then confirm this in writing
We confirm all our recommendations in writing
We work with you to support you in achieving your FSA Compliance responsibilities by providing solutions that you can easily understand which helps you comply with the FSA's Rules and Guidance.
If you have any particular areas of concern or need help with monitoring your business, book one of our FREE Compliance Consultations Now...
Call Compliance South West on
- To help you identify higher risk areas in the business and potential weaknesses in procedures.
Business Development
- If you are comtemplating moving into a new area of related business, or want to check how the firm is Treating Customers Fairly and reviewing action plans for implementing TCF across your business.
Help with setting up procedures
- e.g. Training and competence, recruitment, conduct of business, complaints handling, plus templates for disclosure documents, check lists and registers.
- e.g. competency assessments, product risk guidance.
- Helping to action remedial work required by the FSA rules and obligations.
If you have any particular areas of concern or need help monitoring your business, book one of our
How Can we help you:
