PMS Compliance

PMS Compliance Services

COMPLIANCE. BUILT YOUR WAY

Recognising your firm's individuality


Built around you

Your business is unique, which is why we focus our expertise on providing comprehensive compliance services that are customisable around your individual business needs.

Rewarding loyalty

We want to reward our member’s loyalty. So if your ?rm frequently uses our mortgage, protection and GI services we’ll take this into account when it comes to what you pay for compliance support.

Award winning support

We’ve teamed up with Bankhall, the largest supplier of support services to directly authorised ?rms in the UK, to bring you comfort and con?dence in your compliance support.

 

 

Services at a glance

Access to Bankhall Online

Business Stationery & Disclosure Documents Review

Complaints Handling

Compliance Assistance Day

Compliance Audit Visit

Compliance Implementation Day

Compliance Support Unit (CSU) Helpdesk

FCA Application Support

Financial Promotions

Learning Licence (Including CPD)

Moneyworks Clients Newsletter

Regulatory Bulletins

Remote File Reviews

Remote Risk Review

Remote RMAR Support

Suitability Letter Generator (SLG)

Website Review

Bundle your needs

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Access to Bankhall Online

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.

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Business Stationery & Disclosure Documents Review

We will provide advice and practical guidance with the design of your business stationery and regulatory disclosure documentation.

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Complaints Handling

Our highly experienced team can provide a full end to end case handling service or support any individual element.

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Compliance Assistance Day

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.

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Compliance Audit Visit

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.

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Compliance Implementation Day

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.

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Compliance Support Unit (CSU) Helpdesk

The CSU helpdesk gives you access to an experienced team via phone and email to answer compliance queries.

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FCA Application Support

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.

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Financial Promotions

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.



EXAMPLE PACKAGE

£116.67

per month

+VAT *

Bankhall Online

CSU Helpdesk

Financial Promotions

Learning Management System

Regulatory Bulletin

Remote File Review

You may also want to consider...

Compliance audit visit + £88.33 / month

Remote risk review + £44.17 / month

Remote RMAR support + £12.00 / month

* Cost based on standard 12 month contract term.

FOR YOUR PERSONALISED COMPLIANCE SERVICE

Contact your Regional Key Account Manager or call 0345 230 8000.