14 Oct Hands on Compliance Limited
Flexible, friendly and affordable Compliance and Pension Transfer Specialist support for the small to medium sized directly authorised Financial Advisory firm.
Whether you require a full risk management solution, accompanying annual compliance activity programme and ongoing face to face support, or one off services to address a specific area of need, we will be happy to offer a level of service suited to your needs and budget.
Our fees are straightforward with most services being subject to either a daily rate or fixed fee. No retainers are involved and fees are not subject to VAT.
An initial consultation is provided at no cost.
- Advice pre regulatory risk assessment or supervision visit
- Complaints Handling Reviews
- Compliance advice
- Compliance Support
- Compliance Training
- Due Diligence
- File Review
- Health Checks
- Mis-selling Reviews
- Pension Reviews
- Regulatory Returns Assistance
- IFA (incl IFA divisions of financial institutions)
- Restricted financial advisers