Love it or loathe it, compliance is an essential ingredient in any advisory business.
The Financial Services Industry is constantly evolving and keeping up to date with the plethora of legislative and regulatory changes is time-consuming. ComplyMe understands this problem and recognises the importance for business owners to focus on running the business and ensuring as much time as possible is used for fee earning activities.
Pre-Approval of Advice
ComplyMe have extensive experience in pre-approving advice, giving you the comfort that your files are being reviewed by suitably qualified individuals. As part of this service we will provide a report with our feedback including guidance and recommendations where appropriate.
Compliant Investment Process
ComplyMe can sense check your current investment proposition and provide you with a report summarising how it works and meets your clients' needs as well as recommending any changes that might be needed.
Due Diligence
Due Diligence is about going beyond just comparing charges or referring to industry awards. It is about a more in depth assessment of providers looking at areas such as financial strength and viability, service and support as well as areas like Risk Management, Data Protection and Disaster Management.
Complaints Handling
We can handle the complaints process from the outset and where appropriate undertake the necessary redress calculations.
Health Check
Compliance Health Check
The Compliance function is becoming ever more complex and more firms are under scrutiny and intervention from the regulator.
ComplyMe can undertake a compliance health check and help you protect your business.
