ComplyMe understands the importance of getting to know your business, allowing us to adapt our services to your needs. Giving you peace of mind and allowing you to focus on your clients. Contact us for a free initial consultation or complete the enquiry form available on the contact page.

Compliance Health Check

The Compliance function is becoming ever more complex and more firms are under scrutiny and intervention from the regulator.

It is essential that your firm's procedures and processes are current and up to date to avoid attention from the regulator which can have significant implications for your business. ComplyMe can undertake a compliance health check and help you protect your business.

File Review

Reviewing advice is essential in any advisory business. The team at ComplyMe has over 40 years’ experience, reviewed in excess of 6,000 client files and can help you identify any areas of potential risk/or recommendations for remedial action.

We can help you put in place solutions to minimise potential risk in the future.

Pre-Approval of Advice

There has been a long period of sustained, significant, legislative and regulatory change within the financial services sector. Consequently complex advice has never been more needed or more valuable. However, inevitably complex advice brings risk.

ComplyMe can undertake a review of your advice prior to it being issued, which could significantly help reduce your exposure to a potential future liability.

Compliant Investment Process

The FCA has focussed on centralised investment propositions, particularly on the danger of ‘shoehorning’ clients into investments that may not be suitable.

We can help you build a coherent investment proposition that works for all your clients, your business and will help ensure regulatory expectations on suitability are met.

Due Diligence

A recent FCA paper [TR16/1] identifies failures in due diligence were a key contributor to unsuitable advice.

ComplyMe can help you design a robust and consistent approach to provider selection that will enable you to demonstrate that the product and investment providers you use are fit for purpose.

Complaints Handling

It is essential that firms have familiarised themselves with new requirements stated with the FCA Policy Statement (PS15/19) and that they take the opportunity to review their current complaints process to ensure it is fit for purpose.

ComplyMe can review your process and ensure it is meeting regulatory requirements. ComplyMe also offers a range of complaint handling services and can assist firms in resolving their complaints.

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