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Reduce risk, improve consumer outcomes
Increase knowledge, build capability
Embed consistent methodologies, increase efficiencies
Expert helpdesks
Need clarification? Our helpdesk teams are ready to answer your queries on FCA, DWP, and HMRC rules and regulations.
Regulatory updates
Stay up to date, with alerts whenever the FCA issues regulatory papers. We’ll explain it in plain English and give you guidance and best practice on any actions.
Regulatory resources
Use our compliant templates for suitability and client reports. And consult our hubs for expert guidance on key topics, including consumer duty, vulnerable clients and the Senior Managers & Certification Regime (SM&CR).
Authorisation support
If you’re interested in becoming directly authorised, we’ll support you at every stage. We’ve helped more firms make the move than anyone else, processing over 150 applications per year.
Compliance services
Let us ease the burden of compliance. From becoming directly authorised, and implementing FCA updates, to evidencing the value you deliver to clients, we’ve got your back.
File review service
Know you’re maintaining high standards with pre- or post-sale file reviews from our Advice Quality team. We’ll provide gradings, highlight any issues, and suggest appropriate remedial actions.
Tailored compliance audits
Make sure your systems and controls are suitably resilient with our suite of regulatory audits and compliance support days, either on-site or remote, built around your needs.
Adviser competency and monitoring
Meet your regulatory requirements to assess the ongoing competency of your advisers, with our training and certification services, tailored reviews and supervisor courses.
Advice quality & regulatory consultancy
Create robust processes and improve consumer outcomes using our ongoing support to work more efficiently and effectively.
Bespoke charging and documentation review
Make sure you’re operating in a compliant manner. We’ll review your charges, value statements and client agreements to make sure they’re clear and fair.
Bespoke consumer duty support
Get practical recommendations to meet and evidence your consumer duty requirements, across all aspects of your proposition, processes and documentation.
Tailored CIP / CRP support
Have confidence that your centralised investment process (CIP) or centralised retirement process (CRP) meet regulator expectations. We’ll help you design, document and install your CIP, and train staff if needed.
Regulatory business consultancy
Use our cost-effective consultancy to design and implement clear, consistent documentation and processes that streamline your customer service.
Our other core services
Financial technology
Streamline the advice process, increase efficiency
- Integrated planning & back-office systems
- Product research & resourcing
- Learning & regulatory technology
Business support
Improve performance, increase value
- Professional development
- Proposition development
- Growth & exit services