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

We are so pleased that we subscribe to the Premier Service of Compliance News. - it makes life so much easier for the busy IFA practice. You receive regular (jargon-free) e-mails which provides details of forthcoming FSA changes and highlights the salient points and issues to deal with at a glance with useful links to the relevant part of the FSA website. In addition there is a wealth of information available from the document register such as suitability templates etc. Phil Dibb and his team are so helpful and provide a first class service.

Maralyn Johnson Dip PFS. Compliance Officer

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Compliance News provides an invaluable service keeping us abreast of regulatory changes and access to an extensive resource library. Over the last five years Compliance News have become an excellent external resource which we highly value.

James Dudbridge FCII, Compliance Officer, Robson Taylor IFA Ltd, Bath.

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We have been subscribers to the Premier Service from Compliance News since late 2006 and during this time Phil and his team have provided our firm with a wealth of information, document templates, concise regulatory updates/summaries and general advice which has saved our firm a significant amount of time, effort and cost. The Premier Service is extremely good value for money and the additional services offered such as training courses are high quality and very competitively priced. Remaining compliant is an uphill struggle for small firms with limited resources and therefore services such as Compliance News and its Premier Service are invaluable."


Karen Phelps, Advance Investments Ltd


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"Phil and his team at Compliance News provide an excellent compliance support service which is ideal for smaller firms like ourselves who want to remain independent and directly authorised. His monthly updates are informative and easy to follow with the supply of regulatory documents for CPD, business standards and ongoing T&C records invaluable. The team are also always on hand to answer any ad hoc queries we have day-to-day. In a profession whereby time is almost definitely money the time saved by this service is worth its weight in gold. I cannot recommend Compliance News highly enough."

Rebecca Colley DipPFS

Operations Director, Informed Financial Planning


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'We moved over to Phil's firm for two reasons - a recommendation and costs.

The basis Phil adopts is very practical:

A regular Newsletter keeps you up-to-date with compliance matters affecting IFAs.
A library of draft documents is available to you.
The firm is really 'hands on' and any queries are answered very efficiently.
Low cost seminars are set up from time to time giving more details of these issues.
If you need to have more particular services, they are available.

You feel like you have access to the compliance solutions we all face these days.'


Kevin Cannon, MGP


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I would just like to say that in dealing with Compliance News we have had excellent support, reference, training and information source, with regular updates covering all relevant issues in the industry.


Leza Maloney, Practice Manager

Hindle Jepson and Jennings Ltd


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As a one man generalist IFA who was directly authorised I found the services of Compliance News to be both completely indispensible and really excellent value.

The draft documents saved us hours of time and the information provided regularly ensured we stayed compliant without requiring us to spend hours trawling through paperwork and FSA handbooks. Phil and his team also helped us on one off projects which was really useful and very cost effective. I would not hesitate to recommend Compliance News to any small organisation who wish to minimise their ongoing compliance costs but receive maximum help in this crucial area.

Keith Lagden

Charles Stuart Financial Services Ltd


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I have used the services of D W Regulatory Consultants Ltd for many years and have always been impressed with the quality of all the material they provide. Any queries are responded to very quickly and their advice has always been sound and easy to follow. I would recommend them wholeheartedly to any IFA.


Phil Spare, Bowyer Styles


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Kidd & Co have been using Compliance News for a number of years and find the contents of each edition invaluable in helping ensure we meet the FSA compliance requirements. It keeps us up to date with regulatory changes and it also has a very useful library of forms that we use to keep records of our business procedures."


Charles McGinnis, Kidd & Co


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We have always found Phil and his colleagues at D W Regulatory Consultants to be an invaluable and relevant source of guidance on compliance related matters.


Simon Fisher Managing Director

Coleman Financial Services Ltd

 

 

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