Services

All of our services are designed and delivered by our expert team of compliance technicians. Due to the bespoke nature of our services, you will need to speak to a member of our team before making a purchase.

Simply select the service you are interested in from the list below and complete the relevant enquiry form. We will then contact you to discuss your individual requirements, before providing you with your chosen service.

  • Disclosure documentation approval

    One of our highly qualified technical team will review your disclosure documentation prior to issue and provide feedback as well as any suggested amendments to ensure your firm's documents meet all the necessary regulatory requirements.

    After you have purchased this service we will contact you and discuss how to supply us with your documentation for checking.

    More info / Enquire

  • Regulatory Reporting Support and Guidance (including variation of permissions)

    This service is tailor made to suit the requirements of each individual firm. After placing an order for this service we will contact you discuss the full variation of permissions process. Price will be based on application and dependent on requirements. Charges can either be billed on an hourly basis or as a one-off fee.

    More info / Enquire

  • File checking

    Our highly qualified technical team can review your client files, including the fact find, the research behind the advice, the illustrations as well as key features etc.

    As a result of the review you will receive a report setting out any deficiencies as well as any remedial action you must consider.

    After you have purchased this service we will contact you to discuss how you can supply us with your documentation for checking.

    More info / Enquire

  • Focused specialist visit

    This visit will be tailored to meet your exact needs and therefore will focus on the specific areas your firm is looking for guidance on.

    After you have purchased this service we will contact you to discuss your specific needs and arrange a mutually convenient date for delivery.

    More info / Enquire

  • In house training

    A member of our highly qualified training team will provide a tailored training day in your office for your staff.

    After you have purchased this service we will contact you and discuss your specific training needs and arrange a mutually convenient date for delivery.

    More info / Enquire

  • Website Compliance Checking

    We will undertake a full compliance review of your company's website providing you with a full written report that identifies all of the changes, necessary amendments and issues that you will need to address.

    After you have purchased this service we will contact you and arrange access to your website to allow checking.

    More info / Enquire

  • Pension Switch Review Audit

    Have you undertaken a review of your pension switch files and want a second opinion?

    We can review your pension switch files to ensure your firm is meeting the FSA review standards.

    More info / Enquire

  • Stationery Approval

    One of our highly qualified technical team will review your stationery prior to use and provide feedback as well as any suggested amendments to ensure your letterheads, business cards etc meet all the necessary regulatory requirements.

    After you have purchased this service we will contact you and discuss how to supply us your documentation for checking.

    More info / Enquire

  • Suitability Letter Scrutiny

    Will a second opinion be of use? One of our highly qualified technical team will review your suitability reports prior to issue and provide feedback on any suggested amendments that could be made.
    After you have purchased this service we will contact you to discuss your files, and how to submit them to us.

    More info / Enquire

  • T&C Assessment Days

    One of our highly qualified training team will undertake a full T&C review of your staff, including one to ones and key performance indicators.

    After you have purchased this service we will contact you and discuss your specific needs, and a mutually convenient timescale for delivery.

    More info / Enquire

  • Telephone Role Play

    A role play with one of our highly qualified training team designed to assess and test your or your adviser's knowledge of the sales process.

    After you have purchased this service we will contact you and discuss your specific needs, and arrange a mutually convenient timescale for delivery.

    More info / Enquire

  • Business valuation

    Thinking of buying a business? Or merging with another? Well we have a service that will value the target you have in mind.

    After you have purchased this service we will contact you and discuss your case, and provide you with the list of information we will require in order to proceed.

    More info / Enquire

  • Complaint investigation

    We provide an independent review of complaints made against your firm and provide a specialist report having fully investigated the issues raised against your firm.

    After you have purchased this service we will contact you and discuss your case, and the file information we will require.

    More info / Enquire

  • Compliance visit

    One of our highly qualified and experienced regional compliance consultants will visit your offices in order to conduct a general compliance review of your firm. Our service is designed to mirror a "normal" FSA visit.

    After you have purchased this service we will contact you to discuss your needs and arrange a mutually convenient date for delivery.

    More info / Enquire

  • Advertising / Promotions Approval

    One of our highly qualified technical team will review your advert/written article, mailshot etc. prior to issue and provide feedback as well as any suggested amendments to ensure your advert/promotion meets all the necessary regulatory requirements.

    On purchasing this service we will contact you to discuss how to supply us with your documentation for checking.

    More info / Enquire