01293 889339

File Audits

Services > Pay As You Go > 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.

Risk Category - A

Pension

Occupational Pension Transfers
Opt-Outs

Investment

N / A

Mortgage

N / A

Protection

N / A

Risk Category - B

Pension

Drawdown
Annuity
QROPS
QNUPS

Investment

IHT Solutions
VCT
EIS
Investment Bonds

Mortgage

Equity Release
Home Reversion Plans
Consumer BTL's
IO Residential

Protection

N / A

Risk Category - C

Pension

Pension Switches
PPP
SIPP's

Investment

ISA
GIA
JISA

Mortgage

Residential
BTL

Protection

Level Term
Decreasing Term
Critical Illness
Income Protection
Private Medical

Other Services Include

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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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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