What we do

Quite simply we offer support to help you and your firm be compliant. In as simple a manner as possible.

We understand that legislation and FCA guidance can be difficult to navigate. We support you to help you feel confident your firm, advisers and advice is compliant, so you can focus on what matters – your clients.

We love technology

Used properly, it can make our lives so much simpler. And we love simplicity. So a huge part of what we do includes the use of our technology. You sign up, spend a small amount of time inputting information about you and your business. And our system will then provide you with:

  • A full overview of your regulatory requirements, and when they’re due
  • A bespoke training and competency framework, building in your own firms KPIs
  • A monitoring system, to alert supervisors if there is any compliance breach within the firm
  • Updates, templates and practical guides
We love technology

Professional support

While technology is great, there are some things that need that human touch. And so you can benefit from:

  • Initial assessment

    Initial assessment

    A full initial assessment of your business and processes, with support to put the framework in place to ensure that, from this point on, your firm outputs will naturally be compliant.

  • Technical support

    Technical support

    Need someone to look into a complex area for you or provide you with some guidance? Simply submit a query via our system and we’ll respond as soon as we can with the answer.

  • File checks

    File checks

    Practical file checks – with a healthy dose of common sense, which we think is essential!

  • Webinars

    Webinars

    Regular webinars with your Relationship Manager, to update you on anything relevant to you and your firm, and ensure you are remaining on the right track.

So what do we do?

In a nutshell; compliance – but not as you know it.

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