Expertise

Flexibility

Value for Money

We are small team of professional, friendly compliance consultants.

What makes us different is our personal service. We never adopt a ‘one size fits all policy’ we always take the time to build close relationships with our customers and get to know all of the needs and demands of your business.

We are experienced in all areas of Compliance, Training and Competence and Treating Customers Fairly.

A selection of our services

File Audits

We can review a selection of files, to ensure compliance with the Conduct of Business (COBS) rules across all regulatory aspects of the sales and advice process.

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Training & Competance

We can offer a training and development scheme, to get you to, and maintain you at a level of competency to perform your role with a high professional standing.

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Complaint Handling

We will perform an unbiased investigation of the complaint, liaise with the client, the providers and FOS.

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RMAR

We can provide assistance with the completion of Retail Mediation Activities Return via the FCA’s GaBRIEL system.

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What our clients say about us

“We consider Complete Compliance to be a valued business partner as they are a great asset to any IFA firm, and we would highly recommend them.”

John Morten, Director

Ethos Financial Planners

“We have worked with Complete Compliance since we became directly regulated in 2014. Since our transition from Appointed Representatives, Louise and Joe have been a great support in helping us to fine tune our recommendation reports. They are now our key compliance partner for providing file reviews.”

Robert Markham - Director

Cedar Wealth

“Complete Compliance have helped me through the transition from Network to Directly Regulated with the minimum of fuss and professionalism all the way.”

Steve Grundy, Director

E&S Financial Planning Ltd

Becoming FCA Directly Authorised

Whether you are a member of a network, or new to the industry, the benefits of direct authorisation are vast.

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Speak with us directly
on 01293 889339

Get in touch for for information on how we can help with your compliance needs

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