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. *October 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 visits / audits 

We are able to carry out a bespoke face to face Compliance audit service at a competitive price. We do not require IFAs to pay a set monthly retainer and work for most IFAs on a fixed project fee. Our main services are either a one-day audit with a summary letter or a two / three day annual compliance audit with a discussion with all staff during the visit / update training and a follow-up comprehensive report. Typical fees start from £880 per day plus expenses (this generally includes the "write-up" time).


Phil Dibb was awarded the status of "Chartered Financial Planner" by the CII in July 2013.

 

 

Compliance News Videos