- Applications for Authorisation with the FCA and/or PRA
- Applications for Variations of Permissions
- Applications for Passport for Services or Branch Establishments
- Complaints Handling
- Financial Promotions Vetting
- A “Deep Drill” Regulatory Report stretching from the Board and Management responsibilities and drilling down into individual, competencies and activities
- Regulatory Defence following FCA intervention
- Risk Assessment Analysis & Report
- Client Base Development
- Network Training
- Recruitment Procedures
- AR Training
- Sales Training
- Preparation for FCA visits or virtual visits.
Note: Your compliance department or consultancy should be your best business facilitation department. Effective training and procedures should build not deplete the bottom line.
The Helpdesk Service is usually purchased as part of the combined package of Compliance Manual, Updates and Regulatory News Alerts although the Helpdesk service can also be purchased separately.
Frequently this service is used by experienced compliance officers who need a ‘sanity check’ or detailed discussion to gain an experienced or a second opinion. We endeavour to respond within one business day.
For further information please contact us.
We provide support for:
- Compliance Manuals
- Anti-Money Laundering Manuals
- Training and Competence Manuals
Over the last decade I-FACT have written and printed over 8,000 manuals for regulated intermediaries. Compliance and Training and Competence manuals have been designed to satisfy the requirements of FIMBRA, IMRO, PIA and FCA. We have received many plaudits from client companies and only one comment from the regulators:
We’ve seen these before
They then go back on the shelf as the requirement to make procedures acceptable has been satisfied and procedures can be demonstrated. An Update Service and Helpdesk Service is a part of the package.
For further information please contact us
- Strategic Planning and Setting up a Network
- Recruiting and Selecting Appointed Representatives
- Introducer ARs
- Monitoring Compliance across a Network
- Auditing ARs
- AR Agreements & other essential documentation
- Network Training & Development for Principles and Advisors
- Compliance Monitoring
- RMAR for a Network. I-FACT has set up a number of networks for IFAs and Mortgage Brokers, none of which have been criticised by any regulator.
Any business that achieves success must have a good business plan plus ideas for future business growth. When planning growth one must consider the regulatory implications which is where I-FACT can help.
An added benefit is our ability to introduce client firms to each other for mutual benefit.
We have found solutions for a broad range of clients from insurance companies, PMAs, removal firms, motor manufacturers, distributors, banks, general insurance brokers and the larger secondary intermediaries. If you have a challenge, please contact us.
WE ENJOY FINDING SOLUTIONS!