COMPLIANCE NEWS - FOR DIRECTLY AUTHORISED FINANCIAL ADVISORY FIRMS IN THE UK

Compliance News Limited
Egerton House, 14 Egerton Terrace, Rawdon, Leeds, LS19 6QA
Tel: 0113-2583111 & 07973-363277
Email:
compliance@ifahelpline.co.uk

 

 
 
 

Excel spreadsheet of documents available to all subscribers. *Jan 2019*

 
 

Compliance News for IFAs - 41 - Spring 2019
Format: Printable PDF File - Size: 53kb - Virus Scanned: YES

Compliance News for IFAs - 40 - Summer 2018
Format: Printable PDF File - Size: 53kb - Virus Scanned: YES

Compliance News for IFAs - 39 - October 2017
Format: Printable PDF File - Size: 226kb - Virus Scanned: YES


Compliance News has been issued since June 2004 and is operated & written by Phil Dibb who worked at PIA/FSA from 1997 to 2002.

Phil also he runs his own Compliance Consultancy firm, spending the majority of his time auditing and training IFAs on compliance and T & C issues.

In addition, he is Chairman to a number of regional compliance forums held around the UK.

Compliance News is a support service designed to benefit all directly authorised IFA firms across the UK.

A free newsletter / bulletin is also issued periodically to over 21,000 IFAs and compliance staff in the UK.

Our main offering is a subscription service - we call this the 'Premier Service' - this has two CORE BENEFITS:

1. Subscribers automatically receive regular updates of key Regulatory changes (every six weeks unless something topical     cannot wait)
2. Subscribers have access to a wide range of Regulatory documents (Excel on the top left hand-side).

As the industry settles into a post-RDR era we envisage that a number of IFAs will decide to go 'restricted'. Compliance News will serve both IFAs and restricted advisers as we believe that many Compliance issues will be very similar across each group.

Our objective is for the small / medium / large regional directly authorised to continue to be a success across the Financial Services industry.

Compliance News Premier Service Subscription Form

> Printable PDF File <
> Printable Microsoft Word <




 

 

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