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- FSA Application Support
- Compliance Packages
- Buy Manuals / Documents
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- Anti-Money Laundering
- Claims Handling Firms Only
- Client Money
- Complaints Handling
- Data Protection
- Equity Release
- Financial Promotions
- FSA Principles of Business
- General Rules
- Mortgage Advice Process
- Non-Investment Insurance Advice Process
- Training & Competence
- Treating Customers Fairly
Enterprise
Our four unique packages - Essential, Enterprise, Exclusive and Elite are specifically designed for firms who carry out Home Finance, General Insurance and Sale & Rent Back Activities. If these do not suit your requirements please refer to our Individual Services Section or Claims Handling Only Section. Alternatively, please contact us directly on 01254 675 674.
The Enterprise Package boasts all the credentials contained within the essential offering, however you also receive a TCF evaluation and a GAP Analysis report. We will visit you every six months to ensure your compliance needs are met, we will also produce an annual systems and controls report ensuring risks are identified and dealt with proactively.
Package Includes:
- Half yearly Compliance Visits
- Expansive range of Compliance Manuals/Procedures
- Compliance Registers
- Access to a constantly updated website
- Financial promotions checks and guidance
- Stationery Templates / IDD Review
- Newsletters (including Regulatory Updates, Treating Customers Fairly Guidance and Monthly Newsletters)
- TCF Evaluation
- GAP Analysis
- Systems and Controls Assessment
- E-mail support function
- Support from dedicated: Regulatory Compliance Consultant
