Reality Compliance is a compliance and business consultancy with expertise in retail financial services. The business was founded in 2011 by Chris Yates, who has 26 years compliance experience in regulatory roles and has dealt with the regulator on numerous occasions.

We provide bespoke compliance services to match your individual needs. The key services we provide are:

• Compliance visits (onsite and remote)
• Annual healthcheck/audit
• Consumer Duty support
• File reviews (suitability of advice)
• Training & competence (T&C) support
• Support for FCA information requests/visits
• FCA authorisations
• RegData return assistance

There are no monthly membership fees, all services are payable on a pay as you go basis.

We also offer an external paraplanning service, Apex Paraplanning (www.apexparaplanning.co.uk). A full range of research, report-writing and due diligence services are available. Please contact hello@apexparaplanning.co.uk for more details

The Old Police Station, 22 Hind Hill Street, Heywood
OL10 1AQ
T: 0161 464 0672
E: hello@realitycompliance.co.uk
W: http://www.realitycompliance.co.uk

• Authorisation
• Bespoke Processes/Procedures
• Complaints Handling/Reviews
• Compliance Auditing/Due Diligence
• Compliance Support
• Data Security/Protection
• Documentation
• File Reviews
• Financial Crime /AML
• Governance
• Paraplanning
• Regulatory Returns
• Regulatory Updates
• Risk Assessment /Management
• Skilled Persons Review Support
• Supervisory Support /Monitoring /Assessment

• General Insurance
• IFAs
• Mortgage Brokers/Lenders
• Restricted Financial Advisers
• System Providers