02 Nov IFA Consultancy Limited
IFA Consultancy was founded in 2004 specifically to provide specialist IFA compliance support services to directly authorised independent financial advisers. Demand for our expertise has grown alongside the increasing regulatory burden faced by IFAs.
Typically we serve SME retail firms by providing a highly informed and responsive outsourced compliance service. Think of us as an on-demand and extremely cost-effective ‘Compliance Department’. IFA Consultancy’s clients span firms with existing Financial Conduct Authority (FCA) registration as well as those new to regulation. In addition to IFAs we also provide compliance consultancy to other regulated businesses such as insurance and mortgage brokers. Kevan Thorn Dip FS Cert CII (MP), brings an insider's eye to our services, having himself gained 10 years' management experience as an independent financial adviser prior to these 20 years as an IFA compliance specialist.
- Bespoke Processes/Procedures
- Complaints Handling/Reviews
- Compliance Auditing/Due Diligence
- Compliance Support
- File Reviews
- Financial Crime /AML
- Regulatory Returns
- Risk Assessment /Management
- Supervisory Support /Monitoring /Assessment
- Mortgage Brokers/Lenders
- Restricted Financial Advisers