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We can help firms to complete regulatory returns, collecting the relevant data and ensuring that the returns are submitted accurately and on time.
We can help you to identify any issues that may need to be addressed, to create action plans and monitoring programmes.
We provide a comprehensive monitoring service for principals, including visiting AR firms and reporting back on compliance issues.
Our consultants can visit your offices to review a selection of each sales employee’s files. You will subsequently be provided with a status report on their compliance with FSA rules and your own procedures.
We are able to deliver bespoke training at your place of business on a wide range of compliance related subjects.
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