FCA Compliance

Why us for FCA Compliance?

We understand that when you chose the career path you’re on, you didn’t sign up to spending long days in the office completing tasks such as FCA compliance….and why should you?

We can help support you

Whilst we can’t take away your regulatory responsibility, you can delegate the tasks to a team of trusted experts, us.

Our team of specialist consultants have over 20 years of experience within the industry, providing support to sole advisers, through to medium sized firms

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Speak to one of our experts today

Our compliance services cover:

Annual Regulatory Health Check

Annual Regulatory Health checks tend to be completed over 2 days. During these days we will visit your office to review your current processes and procedures. We will go through your documents to identify areas that could be improved or that need updating to reflect any new or impending regulatory changes. And if possible, speak with your staff. This allows us to identify any gaps in their knowledge/understanding.

Financial Promotions Reviews

With several do’s and don’ts to consider when putting a financial promotion together, many firms tend to shy away from them to avoid any repercussions. But sometimes word of mouth can’t solely be relied upon to market your business. This is where b-compliant can help. The first step is to create the financial promotion that you would like to publish then send it over for us to review it to ensure it’s compliant. We will then either send it back to you to make the changes yourself or with your permission, we’ll amend it for you, saving you the hassle.

Technical Queries

With a dedicated helpdesk of experienced consultants, simply email your query to us and within 24 hours we’ll get back to you.

File Reviews

We complete file reviews using an outcome-based approach to ensure that not only does your file tick all of the relevant boxes from a disclosures point of view but more importantly, that the suitability of the recommendation is appropriate given the client’s circumstances, needs and objectives.

Policy & Process Writing

Your business is unique, and so are your systems and processes.  We can either write a new policy or process from scratch or personalise one of our templates to suit your firm.

T&C Support

From collating KPI data, through to adviser 1-2-1s and observed meetings, we can provide as much or as little training and competency support that you need.

Gabriel Returns

We cannot submit the returns for you, but we can remind you when they are due. We can also answer any questions you may have about completing them, and before you hit the submit button, we can check that the right data is in the right boxes.

Due Diligence

We assist firms who are preparing for a sale by undertaking pre-Due Diligence work to ensure you are fully prepared. We also assist firms who are considering the purchase of an existing firm to identify liabilities, risks and other matters that may affect value now or in the future.

Complaint handling

Do you require compliant handling assistance? We offer a full service from initial acknowledgement through to investigation, drafting the final decision letter. We will handle correspondence with the client, and deal with FOS should the need arise.

Project Planning and Support

Are you undertaking project work related to regulatory issues?  We can help in the following areas:

  • Bespoke policies
  • SM&CR training for support and/or assessment
  • Full T&C scheme appraisals and implementation
  • Support for FCA authorisations and variation of permissions
  • Preparation for interview by the FCA, and if required attendance at the meetings if requested by the FCA.

After an initial consultation, we can discuss what will work best for you, whether that is for us to work on-site at your own offices or from our HQ in Manchester, we’ll work around you.

We offer our services on either an annual retainer or pay as you go basis, giving you the freedom to choose the best fit for your company.

Security

We understand that Data Protection and security is one of your main priorities; ours too.  This is why we are registered with the ICO and our easy to use client portal complies to ISO27001 and ISO27018 standards.

Our goal at b-compliant is very simple

to provide our expert help, adding value to your business

For a no obligation chat to discuss how we can help you, call us on 0161 979 0726 or send an email and one of the team will get back to you.