This is whereby you pay a monthly fee and receive a set level of service. This provides a light touch to helping manage your compliance requirements.

Subscription Lite

File Checking

10 cases to be checked per annum. This will include observations on Documentation, Know Your Client, Research and Suitability of Advice and provide remedial action suggestions where required.

Compliance Audit & Risk Mitigation Plan

This will include a “mini” audit each year looking at the systems and controls within the firm to ensure it is meeting its regulatory responsibilities.

Technical Helpline

Access to a member of staff to provide remote help and support in answering compliance queries.

Subscription LitePLUS

File Checking

10 cases to be checked per annum. This will include observations on Documentation, Know Your Client, Research and Suitability of Advice and provide remedial action suggestions where required.

Compliance Audit & Risk Mitigation Plan

This will include a “mini” audit each year looking at the systems and controls within the firm to ensure it is meeting its regulatory responsibilities.

Technical Helpline

Access to a member of staff to provide remote help and support in answering compliance queries.

RMAR

Assistance with or completion of your GaBRIEL return twice yearly (if you submit returns more frequently, we can discuss a bespoke service for your firm)

What our clients say about us

“We have worked with Complete Compliance Support Ltd since our Company became Directly Authorised about 4 years ago. Apart from providing valuable assistance in obtaining Directly Authorised status, they have continued to offer ongoing comprehensive compliance and business support. I would have no hesitation in recommending their services.”

Colin Phillips, Director

MoneyMatters 2u UK Ltd

“We’ve been working with Complete Compliance since we became directly authorised and the difference between the compliance team at our old network and what we have now with Joe and Louise is worlds apart. Rather than seeming determined to find problems, their only focus is ensuring the work we do is compliant and that our customers have been given the right advice.”

Aaron Valente, Director

Key Health Partnership

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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