14 Oct 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.
- Authorisation - FCA
- Complaints Handling
- Compliance Advice
- Compliance Support
- Compliance Training
- Due Diligence
- File Reviews and/or Monitoring
- Health Checks
- Information Security / Data Protection
- Money Laundering / Financial Crime
- Financial Advisors
- IFA - Financial Institutions
- IFA's - Wealth Managers
- Insurance Brokers - General
- Insurance Brokers - Pure Protection Products
- Mortgage Brokers
- Mortgage Lenders/Administrators
- Pension Advisers