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We all know that the summer months can be quiet for IFAs and what better time to get those awkward jobs dealt with?
At Compliance Consultant we also know that whether you are independent or restricted, there are a number of issues that need addressing.
“We are disappointed with the disclosure results with only 52.9% of sampled cases providing acceptable disclosure …….. further work is required by the sector”
The FCA stated in their report on “Suitability” in May that “We are disappointed with the disclosure results with only 52.9% of sampled cases providing acceptable disclosure and further work is required by the sector to improve the initial disclosure (includes firm’s costs and services).”
Having met with the FCA Supervision Team (authors of the report) recently we have a good handle on what they mean and what they hoped to see already in place.
Additionally there was also a great deal of discussion around the suitability letter construction and what content should be included.
Regarding the Senior Managers & Certification Regime, (https://www.fca.org.uk/firms/senior-managers-certification-regime/solo-regulated-firms) we have already worked on this for banking groups and know what is involved, the final tweaks are awaited but
In the details released on 26th July 2017, the FCA said the requirements will include “responsibilities maps, handover procedures, and will need to make sure that there is a senior manager responsible for every area of their firm”.
This means that your procedures need to be identified, mapped and recorded with owners and relevant controls.
What We Are Offering
To Help You Ensure You Are Comfortable With Your Compliance Affairs, We Have Two Offers;
5 Days Work for the price of 4
If you have a piece of work that needs doing, we will arrange to provide 5 days service either at your work site or from a distance (typically report writing etc) at a 20% Discount if at least 5 days work is booked.
What Does This Mean?
This means simply whereby we would normally charge in the range of £650 to £850 for a days’ consultancy work, over a week that would be £3,250 to £4,250 – with our offer that is reduced to £2,600 to £3,400 and no VAT!
As An Extra
We Operate A “Benchmarking Audit” and that is on special offer until 4th August from £2,600 discounted to £2,080 with no VAT!
We can offer these discount ONLY FOR WORK BOOKED IN BY
5.00pm 4th AUGUST 2017
CLICK HERE to register your interest and get a copy of our
“Suitability Guide” absolutely Free!
Don’t want the guide? Need to talk to us straight away? Call 0203 815 7939 now!