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I provide a comprehensive service on all aspects of regulatory
compliance help - tailored to the needs and budget of your individual firm.
- Compliance Helpline
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Clients have access to our expert helpline by email or
telephone - even out-of hours
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- File Quality Checking
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Whether on-site or remote, from a single file to a full-scale
past-business review.
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- Firms Audit
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- Comprehensive on-site audits give advice and recommendations on all
aspects of your business activities
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- Treating Customers Fairly
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Perhaps the most misunderstood of buzzword, this area of
regulation requires both interpretation of the requirements for all firms,
however small.
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- Completion of the RMAR/GABRIEL Returns
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I will check your RMAR for inconsistencies or complete it with
you if you require.
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- FREE Comprehensive
Mortgage and General Insurance Compliance
Procedures
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- These procedures are tried and tested and have withstood a number of
FSA visits - written in plain-English they provide a working document
template for running a compliant sales operation as simply as possible
within the Rules, Principles and Guidance.
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