Services
Project Services
The ambit of compliance is now very wide with interlinking aspects, e.g. senior management responsibilities and treating customers fairly. A range of project services is available to cover most issues that a client may encounter. Our projects tend to be specific, highly focussed with challenging timescales and budgets. Flexibility is key as the project needs to adapt to changing conditions and new information being provided. Skilled resource may have to be added at short notice - or indeed removed. Key objectives are determined at inception and measures implemented so that the project is professionally tracked from start to successful conclusion. Key deliverables may include daily management information, a weekly report and a final report. Other deliverables may be a training workshop, a seminar, new detailed procedures, liaison with third parties and even discussion and meetings with the FSA. Examples of typical project services are as follows
- Approved Persons Regime Requirements*
- Client Case/Transaction Files Investigations
- Client Seminars and Workshops (tailored to the exact requirements of the client)
- Complaint Handling Requirements
- Compliance Personnel Vetting
- Compliance Plan Design and Implementation*
- Corporate Governance*
- Crisis Intervention
- Cross Border Passporting
- Discretionary Investment Management Requirements*
- Distance Marketing
- Due Diligence Inspections for Acquisitions and Disposals*
- Financial Promotions Vetting
- Financial Resources Adequacy*
- FSA Disciplinary Action Assistance
- FSA Implementation Packages
- FSA Part IV Applications and Variations of Permission Submissions
- FSA Reporting Requirements
- FSA Waivers*
- General Insurance Requirements*
- Mis-Selling Reviews
- Mortgage Requirements*
- New FSA Initiatives Education
- Outsourcing Requirements*
- Post FSA Visit Remedial Action (plan construction and implementation)
- Product Specific Requirements (eg Buy to Let, Critical Illness, Discretionary Investment Management, Long Term Care, Payment Protection, Pension Drawdowns, Pension Transfers, SIPPS, Self Certified and Lifetime Mortgages)
- Risk Management Analysis and Implementation*
- Senior Management Responsibilities*
- Skilled Person Reports
- Systems, Control and Procedures*
- The FSA Plan (a plan for the unannounced arrival of the FSA)*
- Training and Competence Requirements
- Treating Customers Fairly Requirements (and its interaction with Senior Management Responsibility and Complaints Handling)
* The services denoted by an asterisk are generally available to retail intermediaries but are not normally requested by providers.
Other Services
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