Plans and Benefits
Do you currently buy in compliance services?
Do you sometimes wonder what you are paying for, as we do hear this often.
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We want to support you, with cost effective solutions, designed around you and your needs.
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We love the question, 'Have you got a template for that' and we would be millionaires if we had a pound for every request, but we are not fans of dumping a multitude of templates on you and neither are the FCA, they want your processes to state what you are doing and why. So yes, we have structures, but we would want to work with you to make it reflect your way of working. If you get challenged on anything process driven, such as your T&C scheme, CIP/CRP you have to be actually living and breathing what is written. This is why templates can trip you up.
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Staying on top of compliance can be challenging, but having a culture of continuous training for everyone is crucial to building a compliant environment. Often, people dislike compliance because they don't understand the reasons behind certain requirements or procedures. Regular Zoom calls for compliance monitoring are essential to ensure you stay on track, and lets you sleep at night, knowing everything is being done.
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We are always around for queries, then the support varies in terms of what you actually need. The plans include some of the training we offer, or a discount to the others.
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These are our support services, we can mix them up if you need to and there is also the option of 'pay as you go' at consultancy rates. For larger pieces of work we would let you know the cost upfront.
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We want to make compliance affordable, not a barrier.
Plans
Ticking Along
75£Every monthPerfect for firms who are confident but needs a basic level of support.Â- Queries
- Compliance Monitoring meeting - every quarter
- Bespoke compliance documents and policies
- Annual compliance meeting to review and sign off the CMP
- Discount on some training modules.
- Booking access for events
A Bit More Help
150£Every monthPerfect for firms wanting a bit more supportÂ- Queries
- Compliance Monitoring meeting - every month
- Bespoke compliance documents and policies
- Annual compliance review meeting to sign off the CMP
- File Check training for anyone monitoring advice
- Annual Training - compliance, Conduct Rules, Consumer Duty
- Discount on some training modules excluded from this plan
- Booking access for events
Full Support
300£Every monthFor firms who need full compliance supportÂ- Queries
- Compliance Monitoring plan with monthly support meeting
- Full compliance support
- Full T&C Support
- Supervisor training and annual refresher
- SMF meeting every quarter
- File checking every quarter - case numbers agreed at outset
- Annual Health Check with report and recommended actions
- Access to bespoke compliance documents and policies
- Review of Investment process CIP / CRP
- Full suite of training for all staff
- Booking Access for Events
- Discount on training modules excluded from plan
Senior Management Support
50£Every monthA monthly 1:1 meeting to support Senior Management role holdersÂ- Monthly 30 minute meeting for SMF's only
- Horizon Scanning
- Activities of focus
- Technology and futureproofing your business
- Growth planning
- Discount on annual SMF refresher