Love it or loathe it, compliance is an essential ingredient in any advisory business.
Today’s advice firms must navigate Consumer Duty, evolving FCA expectations, financial crime prevention, vulnerable customer requirements, operational resilience, data protection and robust governance, all while continuing to deliver outstanding client service. Keeping pace can be demanding. Our experienced team provides practical compliance support that helps you manage regulatory obligations with confidence, leaving you free to focus on advising clients and developing your business.
Centralised Investment Proposition (CIP)
ComplyMe can review your current Centralised Investment Proposition and provide a report assessing how it operates, whether it remains suitable for your client base and whether any changes may be required.
Due Diligence
Due Diligence is about going beyond simply comparing charges or relying on industry awards. It involves a thorough assessment of providers, considering factors such as financial strength, operational resilience, service standards, governance, risk management, data security and business continuity.
Complaints Handling
We can handle the complaints process from the outset and where appropriate undertake the necessary redress calculations.
Pre-approval
The Right Service
ComplyMe have extensive experience in pre-approving advice, giving you the comfort that your files are being reviewed by suitably qualified individuals.
As part of this service we will provide a report with our feedback including guidance and recommendations where appropriate.
