This portal provides intermediary ?rms with essential compliance documents including a full compliance manual, compliance registers, suitability letter checklists, T&C plans, and TCF templates.
We will provide advice and practical guidance with the design of your business stationery and regulatory disclosure documentation.
Our highly experienced team can provide a full end to end case handling service or support any individual element.
Designed to provide you with ?exible compliance support tailored to your business, this could range from practical delivery of training and competence support to reviewing Your sales process.
A consultant will spend time reviewing your compliance arrangements and will consider the key risk areas in your ?rm and make recommendations on how to mitigate any identi?ed risks. Verbal feedback is given on the day, followed up by a detailed report.
This day is designed to be used by ?rms to assist with the introduction, implementation and design of all key systems required to meet the needs of directly authorised ?rms. This helps ensure that you meet your regulatory requirements in building the foundations for the future.
The CSU helpdesk gives you access to an experienced team via phone and email to answer compliance queries.
This service manages the FCA authorisation process and provides you with detailed advice and assistance to help you with the completion of the authorisation process. We will also provide support for ongoing queries that may be raised by the FCA until authorisation is granted.
We can review all forms of client communication including blogs, newsletters,advertorials and provide guidance that is designed to ensure that you comply with FCA regulation and codes of practice.
Your Regional Key Account Manager can help you build a package around your business needs.
You may also want to consider...
* Cost based on standard 12 month contract term.
Contact your Regional Key Account Manager or call 0345 230 8000.