Our story

Quite simply we offer 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.

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We love technology

Used property, 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.

Our Story

Depending on which service level suits you, our system
can 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

Professional Support

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

Our Story

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.

Our Story

Technical Support

Need someone to look int o 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.

Our Story

File checks

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

Our Story

Webinars

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