02 Nov Roberts Clark Independent Financial Solutions Limited
We are multi-award winning IFAs and Chartered Financial Planners offering wide-ranging FCA compliance services. These include templated, downloadable documents and procedures to be tailored to your firm. We also offer individual compliance assistance on your premises or remotely to help with specific projects.
Whether you need anti-money laundering documentation, tests for your staff, TCF or Business Risk Awareness reviews, we can help.
We work differently and know what you need. We know cost is the main issue and you just want to demonstrate you comply with the rules. We offer simple, easy to use procedures and templates.
- Compliance Auditing/Due Diligence
- Compliance Support
- Data Security/Protection
- File Reviews
- Supervisory Support /Monitoring /Assessment