Demonstrate your compliance

Show how you’re meeting Consumer Duty regulations with simple ways to prove you’re working in the best interests of your clients.

Regulatory evidence

Proving customer care

The FCA introduced Consumer Duty in July 2023 to make sure financial services firms always put their customers’ needs first. It’s something that most advisers already do – but how can you evidence the different ways you’re meeting requirements?

With our suite of tools, you can prove the routes you take to deliver the best outcomes for your customers. It’s just part of the wider matrix of Consumer Duty support we offer to all our members.

Identify and support clients who are at risk of financial vulnerability through our easy-to-use online assessment tool, powered by Comentis.

It will help you:

  • flag clients at risk, and identify the nature of that risk
  • highlight support interventions in a timely and effective manner
  • produce a detailed and auditable vulnerability report.

Our partnership with Comentis also enables us to analyse and track trends in the vulnerable clients’ space, and deliver guidance on the most appropriate areas.

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Collect detailed customer feedback and show you’re acting on it with this enhanced client survey, created in partnership with VouchedFor. 

It will help you:

  • survey your clients in private
  • align findings with the four Consumer Duty outcomes 
  • score your clients on Risks Understood
  • produce an instant Consumer Duty report.
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Maintain your knowledge and demonstrate your competency through our market-leading online learning platform.

It offers:

  • Multiple choice tests on investments, pensions, tax, mortgages and protection
  • Regulatory tests covering everything from data protection to MiFID II
  • CPD progress log and dashboards
  • Enhanced content to Level 6 (IFAs) and Level 4 (mortgage advisers)
Find out more

Comprehensive

With multiple layers of support for Consumer Duty reporting and other regulatory requirements.

Streamlined

A simpler way to gather evidence as an integral part of your processes, easing the burden of compliance.

Efficient

Generate auditable reports easily, saving you valuable time that can be better spent with clients.

Strategic

A compliant firm generates better outcomes for customers, ultimately leading to a more profitable business.

Get in touch

Request a call back

Give us a few details and we’ll give you a call.

Call us

Lines are open between 9am-5pm, Monday to Friday.

0141 616 4161

Become a client

Contact our sales team to learn more.

0141 616 4161

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