RWA are pleased to announce a compliance service for Independent Financial Advisers. The aim of this service is to provide a cost-effective solution to your compliance needs. Our goal is to help you conduct your business in a compliant manner; we never place unnecessary obstacles in your path.
The service is designed to allow you to retain full control over compliance.
Unlike some firms, we do not operate a 'one size fits all' proscriptive regime. Whoever you use as your consultants, you remain responsible for compliance so it makes sense that systems and controls you operate are designed for your business and are not some external, generic models imposed upon you.
The RWA service provides the following:
The service is designed to allow you to retain full control over compliance.
Unlike some firms, we do not operate a 'one size fits all' proscriptive regime. Whoever you use as your consultants, you remain responsible for compliance so it makes sense that systems and controls you operate are designed for your business and are not some external, generic models imposed upon you.
The RWA service provides the following:
- An annual healthcheck and planning day (on-site)
- General compliance support (distance or on site - you choose)
- TCF Gap Analysis
- Suitability Assessments and File Checks
- Document Templates
- On-line competence assessments (via OBELISK membership)
- Business development consultancy (preparing for RDR)
- GI 'Partnerships'
- M&A service for those buying/selling practices
- Supervision training/ coaching
