COMPLIANCE

As an Acutus™ client we want to help ensure that you continually meet all FCA compliance requirements, responsibilities and that your business, it's processes & procedures can stand up to scrutiny if ever required.

 

Time and money saved around support services and a firm's compliance function is time and money that can be spent focusing on developing and growing your business.

"Growth often comes when you recognise change is needed.  However, firms often do not pass the recognition stage unless management take a significant amount of time out (the issue that stops firms for fear of going backwards and the unknown) or bring in external expertise....."

In conjunction with our other service modules here are just some of the features Acutus™ compliance support service modules can bring to your firm in saving you time and money :-

  • Remote compliance support and regular site visits (annual, six monthly, quarterly).

  • Business design and planning.

  • 'Business Innovate' - processes to drive a more productive, efficient, innovative and profitable business.

  • Firm & adviser FCA authorisation.

  • Fit & Proper Checks.

  • Credit checks.

  • SM&CR support.

  • Training & Competency Management.

  • Firm & Adviser Training & Competency Framework.

  • Support in building client service level propositions.

  • Support in building investment & platform propositions.

  • Back office system adoption.

  • Financial Promotions & approval - websites, business marketing material and client servicing documents.

  • Marketing Hub.

  • Professional development events.

  • Training events - back office, business development, regulatory.

  • Gabriel preparation and reporting.

  • Investment services - platform & investment solutions including discretionary management design & build.

  • Websites.

  • Support in building innovative automated restricted advice solutions - 'Self Invest' automated investment and 'Self Protect' (direct to consumer solutions).

  • Business & advice journey templates.

  • Advice suitability report templates.

  • Technical support.

  • Advice file review check service.

  • Research tools and software - money laundering/sanction searches, investment related, mortgage related, protection related, back office, pension transfers.

  • Ancillary services - business insurance & professional indemnity insurance, getting your business ready for sale.

  • 'Business Protect' - Protecting Non Defined Pensions business from Defined Pensions business risks.  Segregating and protecting recurring income from historic new business advice.

  • 'Business Sale' - Helping you firm to achieve 'Fit For Sale' status and in turn helping to sell your business.

Call today and speak to one of our business support team, email us or complete our enquiry form and take advantage of our no cost, no obligation initial review service !

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