Compliance News Limited
Egerton House, 14 Egerton Terrace, Rawdon, Leeds, LS19 6QA
Tel: 0113-2583111 & 07973-363277



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

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 (please see Excel on the home page).

We have an extensive range of documents which are regularly updated. In addition, we are normally able to assist with 95% of any specific requests. Our 'youtube' clip gives you a full summary.

The cost for a small IFA firm starts from £330 p.a. (this is cost is per firm - not per RI).

Recently designed documents include; a full range of updated suitability letters, file checklists (ISAs/PPP switching/drawdown/annuities/ISA transfers/replacement contracts), DB transfer 'sanity checklist', spreadsheet of most common registers which IFA's use, GP adviser knowledge tests for 2017, Drawdown test, Pensions Transfer Specialist annual test, Esoteric product CPD workbook, various Disclosure Documents/fee agreements/Retail Client agreements. Fit & Proper declarations, a full complaints handling suite of name but a few.

To subscribe to the Premier Service please complete this subscription form and email it or scan to the address shown. We will then issue an invoice to paid either by BACS or by cheque, whichever suits you. If you have any questions please contact us by email / telephone - details are shown at the top of the page.

Compliance News Premier Service Subscription Form

> Printable PDF File <
> Printable Microsoft Word <


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