A low-cost Regulatory update service for IFA firms. Throughout the year, we issue to registered firms our “Regulatory Updates” to cover key changes & issues that affect the IFA industry.
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 for a small IFA firm starts from £360 p.a. (the cost is per firm - not per RI).
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.