Standard Premier Service

This low-cost option is an update subscription service with THREE CORE BENEFITS:

1. Subscribers automatically receive regular updates of key Regulatory changes (every six weeks or earlier if something topical is issued)

2. Subscribers have access to a wide range of Regulatory documents (From Disclosure documents to fact-finds, suitability letters, fit & proper declarations and a disaster recovery plan templates – over 200 to go at).

3. Zoom training sessions covering a variety of topics are included in the price (these include training on …. Complaints handling, Anti-Money Laundering, Data Protection, Anti-Bribery, Whistleblowing and plenty more….). The Directors / Partners and employees of our subscribing firms are all invited to join.

The cost is per firm, not per RI, and starts from £45 per month (£540 p.a. inc VAT) depending on the size of firm.

Throughout the year, we issue to registered firms our “Regulatory Updates” to cover key changes & issues that affect the IFA industry.

The regular updates keep a firm informed from a Compliance & Regulatory perspective and contains IFA specific information, guidance and solutions on how to address key IFA Regulatory and legislative changes, covering issues such as suitability issues, SM & CR standards to FCA Consultation Papers & Policy Statements.

Enhanced Premier Service

This package offers more direct support with your compliance and includes:

1. Standard Premier Service PLUS …..

2. Compliance Support for ad hoc queries.

3. Annual Zoom (Private to your firm) Compliance support specific to your firms requirements. A 2 ½ hour zoom entirely bespoke to your firm’s Regulatory needs – this could cover training / topical areas to discuss within YOUR business, with CPD provided for all participants. Also, another ZOOM if something urgent comes up.

4. Occasional forum for monthly retainer firms, bringing IFA’s together on topical issues with extra CPD opportunities.

Typically this level starts at £160+VAT per month for a small IFA, but we are more than happy to provide a bespoke quote for YOUR needs. For example you may require to add on file checks.

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