Supporting Brokers with their Compliance since 2006
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Years in Business
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Years of Experience in Financial Services Compliance
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% Approval Rate for FCA / FSA Applications
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Cups of Coffee Reading and Preparing Manuals, Policies & Documents!
FCA Application Support
To become authorised by the Financial Conduct Authority (FCA) you must complete an application. This isn’t as simple as it sounds. The FCA Application is complex and consists of numerous documents that you need to complete and produce.
We have assisted a large number of Mortgage Brokers, General Insurance Brokers, Equity Release and Insurance Loss Assessors (Claim Handling) companies complete the application and get authorised. Of course, once you are authorised we can then help with your ongoing compliance, if required.
Become a Member
Join Ecompli to provide peace of mind and to help protect your business. Our registration process is very easy so that you can start to benefit from our support almost instantly.
Shop Online
You can purchase a range of downloadable manuals and policies to use immediately or consider joining us as a member with access to over 50 documents and templates.
FCA Application Support
Save precious time by requesting the assistance from Ecompli with your application. It’s reassuring to know that we have a 100% approval rate for all of the applications we have project managed over the years.
Compliance Training
We tailor our training to suit our customer’s requirements. We can cover a variety of areas such as the Senior Mangers & Certification Regime, Complaints Handling, Training & Competence, through to supporting advisers via 1-2-1’s and distributing regular Knowledge Assessments.
Articles
Treating Customers Fairly: Keeping Brokers FCA Compliant
ACCESS TREATING CUSTOMERS FAIRLY DOCUMENTS & TEMPLATES For insurance and mortgage brokers operating in the UK, Treating Customers Fairly (TCF)...
Training & Competence: Keeping Your Business FCA Compliant
ACCESS TRAINING & COMPETENCE DOCUMENTS & TEMPLATES The FCA's Training and Competence (T&C) sourcebook, alongside the Senior Managers and Certification...
The FCA Senior Managers & Certification Regime: A Practical Guide to Compliance
ACCESS SMCR DOCUMENTS & TEMPLATES The Senior Managers & Certification Regime (SMCR) is one of the most significant regulatory frameworks...
FCA Protection Insurance: Ensuring Advised and Non-Advised Sales Processes Are Compliant
ACCESS PROTECTION INSURANCE DOCUMENTS Protection insurance such as life cover, critical illness, income protection and related products sits squarely within...
