Protection - Compliance
- Compliance manual, updates and bulletins
- Advice and training on FSA financial reporting including solvency requirements
- Compliance of Adverts & Promotional material
- *Regulatory audits and health checks carried out at the Firms’ offices including verbal debriefing and formal reports, together with appropriate risk mitigation plans
- Advice on how to manage a business from a regulatory risk perspective
- Annual Role-Plays (1 day for max 4 advisers)
- File checking reviews carried out at the Firms’ premises
- Annual Product Testing
- T&C Guidance & Implementation
- CPD Verification and Sign-Off
- Access to Compliance Support Unit
- Advice and training on business continuity planning
