Compliance on Demand

Our Compliance on Demand service provides ad-hoc support and independent assessments of compliance health.

Since 2002, our experienced consultants have delivered thousands of hours of consultancy on a range of topics from FCA authorisation to staff training. Their ability to support business owners and employees is second-to-none and they are always keen to share examples of best practice to help businesses achieve painless compliance.

If you need a little extra support, we’ll be delighted to explore how we can help.

What’s included?

Our consultancy provides the right amount of support, exactly when you need it. Whether you need us for a one-off project or a more longer lasting arrangement, we’ll be delighted to explore the options with you.

One-off support includes sales and acquisitions, FCA reporting and investigations, file reviews and single audits.

Ongoing support includes minimising risk and ensuring staff competency through watertight procedures such as sales, money handling and complaints, conducting regular audits and helping you to submit timely and accurate Gabriel returns.

View our ICS Compliance On Demand PDF for more information on the consultancy available or find out more about our most popular services to the right. However, when it comes to consultancy, we find it really is best to talk. Please contact us to arrange a free, no-obligation discussion of your requirements.

 

 

 

 

 

Compliance audits

Without regular independent auditing it’s too easy for compliance errors to creep in, even when you have an in-house compliance team.

 

Our one day service, run by one of our experienced consultants, will audit the key areas of your business including client money (if applicable), the sales process, systems and controls and complaints. It will also provide an opportunity to review any other areas which may be causing you some concern. As well as a verbal debrief, you’ll receive a full report with prioritised action points to help you address any issues.

File Reviews

If you have concerns that an individual, team or set of procedures are putting your compliance at risk, why not let us provide an independent assessment?

 

We’ll look at client files to get an overview of systems and controls or targeted business areas if you have concerns about an individual or a team.

 

As a result, you’ll find out if procedures are fit for purpose, ascertain if they are being followed and discover if any staff have competency issues which are increasing your risks.

Specific topics

Sometimes,  you know that one area of your business could be handled better, such as sales practice or complaints.

 

Our experienced consultants will gather information from your team, review your processes and documentation and use examples of best practice to illustrate how improvements can be made. As well as a verbal debrief, you’ll receive a full report with prioritised action points to help you address any issues.

FCA assistance

Whether you need help submitting the right information, want to practise responses before a visit or would appreciate some on-site support during an investigation, our expert consultants will help you feel more in control.

Due diligence – sale and/or purchase

Whether buying or selling a brokerage, the regulatory health of the business is almost as important as its profitability.

 

If you’re buying a business, we’ll help you see the bigger picture by ensuring that there are no compliance issues which may affect the value, such as exposure to complaints or risk of regulatory censure.

 

If you’re selling, we’ll help you strengthen your negotiating position and make your business more attractive to prospective purchasers.