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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Reducing the worry of your
Regulatory Responsibilities
Expertise
Flexibility
Value for Money
We are a 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.
Read MoreTraining & Competence
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.
Read MoreComplaint Handling
We will perform an unbiased investigation of the complaint, liaise with the client, the providers and FOS.
Read MoreRMAR
We can provide assistance with the completion of Retail Mediation Activities Return via the FCA’s GaBRIEL system.
Read MoreWhat 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
“I have worked with Lou and Joe since they helped us go directly regulated in 2013 and have found them to be professional, fair and very up to date with ever changing regulations.”
Cameron Young, Director
MM2U
“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
“We have been using Complete Compliance for many years. They are & pragmatic in their approach, knowledgeable & always deal with tasks in a timely manner, which has continually been an issue with other companies we have used in the past. They have become an essential part of our business and I would not hesitate in recommending Louise, Joe & the rest of the team.”
Nick Browne, Director
Progressive Financial Solutions
“Complete Compliance helped me through the FCA onboarding process with clear and concise guidance. Since then I have received the highest quality customer service from a variety of team members. I heavily recommend this company.”
Matthew Vincent, Director
MCA finance
“We searched high & low for a Compliance Firm to support us with our FCA application and Complete Compliance Services stood out from the rest… from the very 1st communication with Joe & Louise it never felt like anything was too much. We were originally going to do all Compliance monitoring inhouse but have been so impressed with Louise, Joe & the team at CCS that we have decided to keep all ongoing Compliance monitoring with them.”
Daniel Hornblow, Director
ADD Property Finance
“Our relationship with Complete Compliance began before the creation of our company, over six years ago. We have benefitted from prompt assistance, professional and technical expertise. The support has gone beyond the provision of excellent compliance advise, assisting in the growth and security of our business.”
Paul Fletcher, Director
Temple Gray
Speak with us directly
on 01293 804503
Get in touch for for information on how we can help with your compliance needs
Make An Enquiry