Compliance Support

Our members get full compliance support from the beginning to keep them up-to-date with the latest regulations or FCA requirements. Our aim is work with our members to ensure required changes are managed as efficiently as possible to eliminate business risk.

Whether it’s face-to-face or telesales, we’ve built market leading case management software to manage the quality and compliance of sales, this is completely bespoke to our network. The software allows our compliance experts deliver instant feedback on all sales and pinpoint any red flags as soon as possible. This software gives our members access to an interactive dashboard for a full performance overview of their business to help drive continuous improvement.

You will benefit from ongoing compliance training throughout our relationship with a team of experts always on hand to answer questions through our dedicated compliance support line. Ultimately, we want you to spend time looking after your clients whilst our team keep an eye on everything else. As an appointed representative you’ll receive:

  • FCA authorisation as an appointed representative
  • Professional Indemnity Insurance
  • Face-to-face and office-based compliance support
  • Regular compliance updates
  • Access to our dedicated telephone support team
  • Access to our compliance case management suite
  • Full file reviews for all sales placed within our network
  • Face-to-face and office-based compliance support and guidance
  • User-friendly compliance documentation
  • All regulatory scripting and supporting documentation
  • Complaints handling