Elite
£670.00 p/m + VAT
The Elite offering is a unique solution for your compliance requirements and is a complete Support Service Package. We will visit you every month to ensure your needs are instantly addressed and continually reviewed. We will provide enhanced business monitoring to give that greater peace of mind in addition to delivering Training and Competence Support including Induction Assessments, in-house training and one to one’s. If the FSA decide to pay you a visit we will accompany you before and during the visit ensuring full support is given. We will provide you with detailed guidance on TCF, support in setting up your systems and controls along with receiving all the benefits from the other three Service offerings.
Package Includes:
- Monthly Compliance Visits
- FSA Reporting including Compliants and Variation of Permissions
- Business Monitoring / File Reviews
- Compliance Inspection in preparation for an FSA Visit
- Accompany FSA Visit to provide support and guidance
- RMAR Completion Assistance
- Financial promotions checks and guidance
- Expansive range of Compliance Manuals / Procedures
- Compliance Manuals tailored to the individual firm
- Compliance Registers
- Access to a constantly updated website
- Stationery Templates / IDD Review
- Systems and Controls Assessment
- Assistance in setting up Systems and Controls
- TCF Evaluation
- GAP Analysis
- TCF Management Information Assistance and Implementation
- Compliance Induction Assessment for new recruits
- Training and Competence Support, including in-house training, one to one's and development plans.
- Newsletters (including Regulatory Updates, Treating Customers Fairly Guidance and Monthly Newsletters)
- E-mail support function
- Support from dedicated: Regulatory Compliance Consultant
Note: The Elite Service Cost is based on 3 advisers. If your firm has more than 3 advisers an additional charge of £35.00 + VAT per adviser will be added to your fee.
