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

 GABRIEL RETURNS

Ensuring timely completion & submission of your regulatory reports is one way to ensure that you do not incur unnecessary fines or receive unwanted attention from the FCA.
 
Our sister firm Regulatory Returns Ltd (RRL) can provide assistance with your GABRIEL return.
 
RRL can complete your GABRIEL return, relieving you from the stress of this ever changing bi-annual task, alternatively, should you wish to complete the return, we offer an over viewing service where we sense check your input prior to submission to the FCA.
 
 An "ad-hoc" query service is also available for firms requiring clarification on GABRIEL matters/issues.
 
We are also able to assist with other regulatory returns such as Variation of Permissions & full applications for firms wishing to become Directly Authorised.         


SERVICE

COST

Level 1 - GABRIEL/RMAR QueryWe answer any ad-hoc queries regarding FCA Regulatory Returns, answers confirmed by us on email to you

From £75.00

Level 2 - GABRIEL validation* Checking service, offering piece of mind that your return is correct prior to submission

£200  per return

Level 3 - GABRIEL completion* - RRL will input the written information provided by the firm (*completing our written questionnaire & providing financial accounts) and answer all queries in preparation for the authorised firm checking & validating each section.  

£300  per return

CONNECT - Removal of PermissionCompleted of FCA Connect request to ask for authority to remove a permission that is no longer required i.e. mortgages, in light of the MMR rules

£95

CONNECT request to add an adviser (CF30)

£50

CONNECT application for new permissions (price dependant on complexity)

From £250

Application to become directly authorised - Initial meeting to discuss requirements, completion of application form and all supporting documents required, assistance throughout the whole process.

From £1500

*Levels 2 & 3 subject to firm having no more than 10 advisers, not holding client money & non-mifid.  Larger firms = POA

                     For further information or to request a service, please contact Lisa Simpson using the details below

 ( 07859 194096   * lisa@regulatoryreturns.co.uk

 

 

 

 

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