File reviews

Our experts will provide ongoing monitoring of your files for suitability and competence, with a focus on the collation of “know your customer” (KYC) information.

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In-depth analysis

Poor quality client files put you at greater risk of penalty from the FCA, or being unable to successfully defend a complaint. Our support will help you identify and resolve any existing file issues and make sure future files are right first time.

Choose us and work with a team that has the experience to know what the FCA requires and how to keep them happy. Instead of tick-box compliance, you’ll benefit from comprehensive, tailored support.

Our service

  • Experts who’ll work collaboratively with you to understand your business and clients inside out

  • Assessment of the file’s completeness, and whether information is chronologically correct

  • A focus on “know your customer” (KYC) information and ensuring the suitability of your advice

  • Checking you’ve accurately recorded the client’s finances, objectives and vulnerabilities

  • Honest, independent support, with no upselling of third-party ties or software solutions

  • Analysis of the information provided about recommended funds and associated costs

  • A diligent, consistent approach to reviewing, which lessens the risk of errors being missed

  • Our expert view on the overall recommendations made and whether these meet the FCA’s criteria

What clients say

Kate Barnard
B-Compliant seem to have the balance just right for small financial advisers like us from a support and price point. They offer on-site visits or remote help, both of which are extremely helpful. Vicky and her team offer a no-nonsense approach to compliance where what you see is what you get. Perfect!
Debbie Jukes
B-Compliant has delivered everything that we expected, and then some – even at short notice. I feel that they have our best interests at heart, and I have complete confidence in the guidance they provide. They have a flexible approach and a great work ethic.
William Stevenson
What we want from a compliance consultant is threefold: to keep our compliance programme both up to date and (more importantly) effective, to offer solutions and not point out problems, and, yes, to be fairly priced! We get all three from B-Compliant.
David Bashforth
It’s early days in our relationship with Vicky and B-Compliant, but my business partners and I have so far been very impressed with the service and technical knowledge provided. For the first time in a long time, we can see compliance in a more positive light, as a tool to improve our business as a whole.
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of clients believe working with us has helped or will help them to achieve their compliance objectives

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of clients would recommend us to other firms or connections

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of clients are very satisfied that we understand their regulatory requirements

Your questions, answered

Completing file reviews often highlights other regulatory issues that need to be addressed. Learn more about our hands-on approach to compliance support and whether it’s right for your business.

View all FAQs
How experienced are your consultants?

Our directors each have more than 20 years’ experience in compliance and financial services. We don’t employ any consultants with less than five years’ experience, so you can always rely on our advice.

Which types of businesses is this service for?

Any FCA-regulated business, including financial advisers and discretionary fund managers. While we tend to work with small- to medium-sized businesses, our support can be tailored to any budget.

Can you help me implement changes following a file review?

Absolutely. From one-off projects to fully outsourced compliance, our support covers whatever you need. Contact us today to discuss your requirements and we’ll get back in touch with you as soon as we can.

Meet the team

You can rely on our experts to deliver dedicated, personable compliance support. Say hi and learn what we can do for you.

More about us
Vicky Pearce
Director and Compliance Consultant
Jeremy Smith
Director and Compliance Consultant
Rachel MacRae
Compliance Consultant
Maria Fox-Leonard
Compliance Consultant
David Morgan
Compliance Consultant
Joanne Smith
Compliance Consultant
Rebecca Jackson
Compliance Associate
Tina Jennings
Advisory Board Member

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