Tailored Compliance Visits
Inclusive in each DA Compliance Support package is one or two tailored compliance visits per year, from a member of our experienced Compliance Team.
These visits will be designed to suit your specific business needs. Simply tell us what key outcomes you would like to achieve during the visit, and a member of our Compliance Team will then prepare any necessary guidance materials and create a bespoke agenda for the day.
Following the visit, our Compliance Team will send you a report detailing the recommendations made during the visit.
Compliance visits can include:
- Audit of processes and systems
- File reviews
- GABRIEL assistance
- TCF reporting assistance
- Assistance with FCA forms
- Assistance with new company set-up
- Complaints guidance
- Advisor training
Find Out More
For more details about our tailored compliance visits, call our Broker Support Team on 01702 533 400 or complete our short registration form.