Onsite Compliance Support
Swaines Onsite Compliance Support Services
Most firms tell us they want practical assistance onsite at a known annual cost. Swaines have therefore created two compliance support services primarily designed to meet the needs of small and medium sized retail intermediaries called Swaines Onsite Compliance Support Service and Swaines Onsite Compliance Support Service Plus:
Swaines Onsite Compliance Support Service
- Compliance advice when needed which will be provided via e-mail and/or telephone
- Annual compliance healthcheck visit and report
- An additional two days visits per year year assisting with monitoring and compliance implementation
- Online access to Swaines comprehensive compliance procedures that covers the needs of IFAs, mortgage brokers and general insurance brokers for adapting to your requirements
- Written reporting for each visit
- Swaines monthly compliance news bulletin
- Assistance with T&C and TCF implementation
The cost for this service is a monthly retainer of £225 plus VAT (plus disbursements where the firm is located outside the M25).
Swaines Onsite Compliance Support Service Plus
This service provides all the benefits of the services described above but rather than receive on site visits three times a year this is increased to six times. The cost for this service is a monthly retainer of £400 plus VAT (plus disbursements where the firm is located outside the M25).
Swaines ‘Bespoke’ Service
At Swaines we know that not all firms are seeking a retainer based service. Some require assistance in one or more specific areas whilst others wish for all monitoring to be undertaken or compliance support to be outsourced. The amount of expert resource needed will of course depend on firm specific factors and where you have specific requirements please do discuss this with us so that we can tailor the service, costings and any letter of engagement accordingly. Further details on our bespoke services can be found at our Specialist Compliance page.
Contact us now for help and advice by clicking here Swaines contact page.