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

Through our sister firm Just CRS Limited, subscribing firms have access to a remote file checking service run on a "pay as you go" basis. A number of firms just send in one or two files each quarter - there is no minimum you need to agree to. Since 2010, a large proportion of file checking for IFAs has been done remotely. Prior to this, such an activity was covered during routine Compliance visits. However, with developments in technology, a remote service is much more cost-effective and can be focused to specific busy times without the need for face to face contact.

Just CRS Limited has also completed a Section 166 / Skilled Persons Report - as instructed by the FSA, following a rigorous tender process.

Please note Just CRS Limited is VAT registered. The costs are: £75 + VAT per remote client file review (excluding multiple transaction files or higher risk cases such as drawdown, structured products or PP switching) or £120 + VAT per drawdown / PP switching (up to 3 into 1) / replacement business remote file check.

For further details please contact Katherine Horgan via katherine@justcrs.co.uk or 07815 767204.

 

 

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