Compliance Services

Additional Services

  • Applications for Authorisation with the FCA and/or PRA
  • Applications for Variations of Permissions
  • Applications for Passport for Services or Branch Establishments
  • Investigations for PII claims
  • Complaints Handling
  • Financial Promotions Vetting
  • A “Deep Drill” Regulatory Report stretching from the Board and Management responsibilities and drilling down into individual, competencies and activities
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Business Development

  • Risk Assessment Analysis & Report
  • Client Base Development
  • Network Training
  • Recruitment Procedures
  • AR Training
  • Sales Training
  • Preparation for FCA visits or virtual visits

Your compliance department or consultancy should be your best business facilitation department. Effective training and procedures should feed not deplete the bottom line.

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  • Strategic Planning and Setting up a Network
  • Recruiting and Selecting ARs
  • Introducer Appointed Representatives
  • Monitoring Compliance across a Network
  • Auditing ARs
  • AR Agreements & other essential documentation
  • Network Training & Development for Principles and Advisors
  • Compliance Monitoring
  • RMAR for a Network IFAct has set up a number of networks for IFAs and Mortgage Brokers, none of which have been criticised by any regulator.
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  • Compliance
  • T&C Manuals
  • AR Manuals

Over the last decade I-FACT have written and printed over 8,000 manuals for regulated intermediaries.

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Any business that achieves success must have a good business plan plus ideas for future business growth. When planning growth one must consider the regulatory implications which is where IFAct can help.

The combined experience of our Directors and Consultants can help you design solutions that fit your business plan and the requirements of the FCA.

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The Helpdesk Service is usually purchased as part of the combined package of Compliance Manual, Updates and Regulatory News Alerts although the Helpdesk service can also be purchased separately.

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