We can review a selection of files from across all risk levels, to ensure compliance with the Conduct of Business (COBS) rules across all regulatory aspects of the sales and advice process. See the table below for information on how we categorise the levels of risk and where each type of file fits in.
Occupational Pension Transfers
Opt-Outs
N / A
N / A
N / A
Drawdown
Annuity
QROPS
QNUPS
IHT Solutions
VCT
EIS
Investment Bonds
Equity Release
Home Reversion Plans
Consumer BTL's
IO Residential
N / A
Pension Switches
PPP
SIPP's
ISA
GIA
JISA
Residential
BTL
Level Term
Decreasing Term
Critical Illness
Income Protection
Private Medical