Lastly, we offer a ‘pay as you go’ approach. This means that you will simply pay for the exact services you need.

For example, a number of our clients like to see us on a regular basis, sometimes monthly and sometimes quarterly. We schedule these visits into our diary at a time and place convenient to you. During this visit we can conduct a number of different tasks including file checking, financial promotion sign off, assistance with your RMAR, or training days. Then agenda for the day will be down to each individual firm. Of course, if we believe there is an area that needs attention, we will suggest this and ensure it is covered in our meetings.

Or maybe you would like some files checked. We can action this based on a per case rate. This will give you peace of mind, make sure you keep on top of the regulatory requirement for file checking and keep your PI insurance company happy. This will be a thorough analysis of the file, all documents therein, and detailed feedback will be provided along with suggested remedial actions where required.

Alternatively, you just want some help with your Client Agreement and Disclosure Documents. Send them over, we can check the content, ensure its correct and meets all the requirements, and we only charge for the time it has taken us to complete this.

Or maybe you want some advertising signed off to ensure it complies with the financial promotion rules. Or perhaps you would like to increase, decrease or change your permissions with the FCA – we can do this too!

Here are some of our key 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

“Many thanks on behalf of us all at Temple Gray for your attentive, professional and proactive support.”

Paul Fletcher, Director

Temple Gray Ltd

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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