​​​​​​Our Services

Our range of services are designed to support and grow your business

Compliance Services

Regulated Remote Compliance Services

We offer 2 core services in this area – Remote File Review Support & Regulatory Complaints Handling

Remote file review support​

An efficient way of having the suitability of the advice you have provided to your customers reviewed by a team of highly qualified individuals. The service offers the facility to check pre and post advice and once the review has been completed a comprehensive report together with comments suggesting any potential actions required, is provided to you. This service is designed to help to mitigate risk associated with advice given within your firm. The team provide guidance which includes best practice, based on the experience of files reviewed which goes above the minimum regulatory requirements.

Regulatory Complaints Handling

Dedicated individuals who are able to offer various levels of support aimed at meeting your needs in relation to client complaints. This support includes drafting acknowledgment letters, reviewing client files, producing reports following reviews and providing assistance with redress calculations.
Assistance can also be provided with any dealings that you have with the Financial Ombudsman Service.

Key business benefits

  • Meet regulatory requirements
  • Monitor, manage and mitigate risk in line with risk appetite
  • Flexible approach - we review only the files, part of file or specific products you want to be reviewed
  • Full online access & support
  • An independent view of each case
  • Experienced and qualified team
  • End to end case handling

Regulated Compliance Audit

We offer 2 core services in this area​ – Compliance Audit Day and Compliance Assistance Day

Compliance Audit Days

An independent health check, to verify controls within your firm which is designed to be similar to an FCA visit. The industry qualified Consultant will spend time reviewing your controls to ensure that they meet with regulatory requirements. A risk rated report will be produced after the visit where we will provide you with an action plan and recommendations to help mitigate any future risks.

Compliance Assistance Days

Is designed to provide flexible compliance support to meet with your business needs and objectives. We tailor our approach to meet the needs of your business and our activities will range from a full review and assessment of your Treating Customer Fairly process to taking an independent view around the skills and coaching of your employees.

Key business benefits

  • Onsite visits to assess your compliance controls
  • Meet regulatory requirements
  • Independent report for submission and use by the Board
  • Monitor, manage and mitigate regulatory risks
  • Action plan to record and evidence completion of remedial work
  • Ability to be flexible and focussed according to firms size and scope of activities

Compliance Support Unit

Giving you access to an experienced and qu​alified team that provides practical guidance and support relating to regulatory requirements. We can provide you with advice and assistance through reports, consultancy, visits and virtual meetings and specialize in the following areas.

Regulatory review

Helping you meet regulatory requirements by reviewing all different forms of client communications including financial promotions, website, flyers and disclosure documentation.


We help you to prepare your RMAR reporting, providing all the assistance and information you need to understand and complete the report.

Appointment Services

An appointment facility where by a member of the team will assist you with bespoke support and help you prepare for either the Business Risk Awareness review – 4 year FCA initiative or RMAR

Key business benefits

  • Ability to ask questions when required from an experienced team of individuals
  • Discuss the impact of regulatory requirements on your business
  • Understand how to embed systems and controls
  • Independent view of how a client could interpret the communication
  • Ability to discuss your considerations regarding fees and charges associated to your advice process
  • Preparation for FCA workshops and submissions

FCA Application Guidance

Our FCA Application Guidance service steers you through the process of obtaining FCA Authorisation. We will provide you with a dedicated case handler who will assist with the completion of the relevant forms together with reviewing and challenging your business plans including financials. The team will discuss your business needs, advise on the permissions you require as well as considering if you have the relevant experience and qualification in order to undertake these activities. We will help your from the start of the process; assisting with any questions from FCA, through to your date of authorisation.

Key business benefits

  • Fully qualified case handlers
  • Ensure you obtain the correct permissions
  • Identify any potential issues or concerns with application prior to submission to FCA
  • Guidance every step of the way
  • Ongoing support with questions from regulator
  • Discuss your considerations regarding fees and charges associated to your advice process

Online Regulatory Guidance

Bankhall Regulatory Guidance is an online facility which provides you with full regulatory guidance, support and tools to assist you in meeting your regulatory needs. The online system also includes a suite of supporting documentation which includes registers, templates and tools. Regular compliance guidance is delivered to you via email and is also available online issued as weekly updates, monthly bulletins and adhoc regulatory analysis.

Key business benefits

  • 24/7 online access*
  • Keeps you up to date with regulatory requirements
  • Regulatory guidance is updated to give you peace of mind
  • Online tools, articles and guidance
  • Immediate access to latest regulatory information
  • Access to a regulatory guidance tool kit

*  Periodic down time may be required for updating and house-keeping. You will be notified in advance where possible.

Technical Services

Access to Technical Consultants, who are available via phone or email to assist with a wide range of technical, pensions and UK taxation rules and complex financial planning queries, in relation to investment advice. They can offer guidance concerning specific products or funds and can also discuss the best way forward on individual cases and provide some guidance on the suitability considerations.

Technical Guides

Access to a wide range of technical guides and factsheets via our member website, as well as regular online technical updates, including comprehensive budget analysis of the Chancellor’s Budget speech.

Bespoke Technical Assistance

The kind of work that could fall into this category includes: reviews of specialist funds (not covered by the Research panels), in depth technical queries / calculations, technical product training and technical exam support.

Key business benefits

  • Support with complex issues
  • Ability to discuss cases
  • Kept up to date with guides and fact sheets

Investment Services


DISCUS - Discretionary Investment Services Coming Under Scrutiny​
DISCUS is the place to discover, compare and discuss outsourced investment services - in particular those offered by Discretionary Investment Managers.  
If you are looking for an outsourced investment solution or simply want to understand more about the UK market and services available, DISCUS offers a solution. 
Built specifically for financial advisers​, DISCUS​ is an online forum where you can read topical information and insight on outsourced investing, or interact directly with discretionary investment managers. ​

Key business benefits

  • Learn more about the range of outsourced investment propositions available in the UK market.
  • Engage directly with discretionary investment providers and other members of the adviser community
  • Access a range of materials from PDFs to videos and podcasts
  • Research tool enables you to compare and contrast different investment propositions

Dynamic Planner

Dynamic Planner is a market leading, risk profiling, financial planning and wealth management front office tool which helps advisers profile, plan and manage their customers and business. Dynamic Planner delivers a robust, compliant and repeatable process whilst enhancing efficiencies.

Key business benefits

  • Discounted through Bankhall
  • Dynamic Planner’s Risk Profiler App ensures advisers can complete the process, both offline and online
  • 24/7 access
  • Dynamic Planner advisers get access to over 800 risk profiled funds and managed portfolios with the leading fund managers and discretionary managers

Mortgages & General Insurance

Mortgage Services

Access to PMS - the largest distributor of mortgages in the UK with over 50 lenders on their panel. As a Bankhall client you are able to access the exclusive mortgage arrangements for all intermediary firms regulated by the FCA.

Key business benefits

  • Exclusive mortgage products
  • Direct submission and payment of procuration fees
  • Large panel of lenders
  • Mortgage enquiry helpline
  • Monthly mortgage publication with topical information

Protection - Market & Zenith

The protection offering is designed to meet the needs of the Financial Adviser, giving your clients a comprehensive choice of protection products to safeguard their income and standard of living against the unexpected. There are two offerings available via Bankhall online:

Market – A whole of market offering with the benefit of enhanced commission terms from a number of providers.

Zenith – A market leading panel of the top 6 protection providers who bring you superior service, quality and breadth of products coupled with enhanced remuneration terms.

Key business benefits

  • Enhanced rates
  • Online access
  • 2 choices of panel

General Insurance

Our GI proposition gives you plenty of options to insure your clients. The online portal makes it quick and easy to write General Insurance business, giving access to 7 product types and 11 underwriters.

Insurance is available across a variety of categories including:

  • Buildings and Contents Insurance
  • Landlords Insurance
  • Specialist Insurance
  • Accident, Sickness and Unemployment Insurance
  • Mortgage Payment Protection Insurance
  • Commercial Insurance

Key business benefits

  • An extra revenue stream with market leading commission
  • A wide choice of products and underwriters via one easy to use portal
  • Even more reasons to engage with your clients regularly
  • Gain recurring income from future renewals
  • Online statement of demands and needs for standard home insurance
  • Referral service available if you do not want to write the business yourself

Support Services


​Enrolsme is a 3 step online process to help your clients set up a workplace pension. Designed to reduce the amount of time a business needs to spend in order to comply with the new pensions law, whilst ensuring the client gets a quality pension that meets all of the legal requirements. Enrolsme has partnered with Standard Life and The Peoples Pension and can guarantee acceptance at preferential rates.

Key business benefits

  • Discounted rate via Bankhall
  • Enrolsme takes care of auto-enrolment on your behalf
  • A quality solution with a low cost for your client
  • Saves time for your clients
  • Peace of mind, knowing they have done everything correctly
  • We will be the 1st line of contact for your clients
  • We have auto-enrolment specialists on hand for all support queries

Auto Enrolment & Middleware Solutions

Bankhall’s auto enrolment proposition is provided by Howden Employee Benefits. Howden specialise in the auto enrolment market and their experience helps them to implement auto enrolment solutions in the most efficient manner for your clients. This service will enable you to meet your client’s business needs by introducing then to Howden for auto enrolment advice. Howden will only support your client with auto enrolment and therefore there is no risk of cross selling.

Key business benefits

  • Specialist auto enrolment advice for your clients
  • Enhances your relationship with your client – allowing you to add value
  • No cross-selling
  • Online access

Professional Indemnity

Professional Indemnity (PI) Insurers have experienced a rise in claims against Financial Advisers which has resulted in some firms finding it either expensive or impossible to renew Professional Indemnity Insurance cover. Working in partnership with Howden Insurance Brokers, Bankhall offers members access to an exclusive Professional Indemnity Insurance facility that directly recognises the positive impact of Bankhall compliance services on risk.

Key business benefits

  • Discounts applicable subject to type of service and contract with Bankhall
  • Enhanced product by leveraging collective buying power with insurers
  • Via Bankhall online and dual branded link
  • Competitive premiums and better coverage for members

Training & Events


Regional events covering a wide variety of regulatory and business topics are available to help provide you with training as well as network opportunities.

​Our events are open to all and are an opportunity to learn more about industry and regulatory changes and form valuable relationships with other financial advisers.

Bankhall events are synonymous with quality content with over 80% of delegates describing themselves as highly likely or definitely to attend another event.

Key business benefits

  • Training delivered by our own experienced teams
  • Peer to Peer learning
  • Free to attend and open to all
  • Networking opportunities

Online Learning

​Bankhall’s award winning online learning system offers firms the opportunity to educate advisers and support staff, track learning goals and keep CPD records up to date. We can help your business and staff members prepare for exams by offering Diploma and Advanced level examination preparation, a vast library of learning and reference material and self-test functionality., record CPD easily, technical / budget updates and also includes a soft skills learning suite.

Key business benefits

  • Our online knowledge bank saves you time
  • Provides firms with peace of mind
  • Record CPD progress
  • Exam preparation
  • Technical & budget modules and updates
  • Soft skills learning suite

Supervisor Training

Our experienced team run two types of one day supervisor courses, ‘Introductory’ and ‘Refresher’. The Introductory course is designed for individuals who are new to the regulatory supervision role and need to develop the necessary supervisory skills required by the FCA to supervise their firm’s advisers.

The Refresher course is designed for individuals have attended an Introductory course (either Bankhall or similar) and who wish to develop and enhance their supervisory skills. These courses will assist with a firms T&C process as well as supporting individuals who work in a people management or supervision function.

Key business benefits

  • Coach and mentor individuals in that role to understand their regulatory responsibilities
  • Ability to test and develop skills in a safe environment
  • Training delivered by our own experienced team

CF10/CF11 Training

The course is designed to assist individuals who hold the Compliance Oversight (CF10) and or Money Laundering Officer (CF11) functions to understand the key responsibilities and accountabilities of their role within the regulatory arena. Our training programme will help individuals to understand the regulatory framework, how these roles underpin an effective compliant regime, importance of TCF and conduct risk and relevance of accurate and robust MI.

Key business benefits

  • Coach and mentor individuals in that role to understand their regulatory responsibilities
  • Ability to test and develop skills in a safe environment
  • Training delivered by our own experienced team

Senior Manager Training

The course is designed to assist senior managers within a mortgage and general insurance firm to understand the key responsibilities and accountabilities of their role within the regulatory arena. The course will help individuals to understand the regulatory framework, how these roles underpin an effective compliant regime, importance of TCF and conduct risk and relevance of accurate and robust MI.

Key business benefits

  • Coach and mentor individuals in that role to understand their regulatory responsibilities
  • Ability to test and develop skills in a safe environment
  • Mortgage & general insurance focused
  • Training delivered by our own experienced team


Trigold Crystal License

Trigold is an online leading mortgage sourcing tool, which provides a complete end to end support solution for mortgage advice. This technology is used by over 60% of mortgage professionals on a daily basis and its comprehensive functionality provides mortgage professionals with all the right tools to work quickly and efficiently.

Key business benefits

  • Discounted through Bankhall
  • Automated compliance processes
  • Generates documents for every case from disclosure to suitability
  • Online training provided

Mortgage Brain

Mortgage Brain is an innovative and efficient mortgage sourcing system. It offers whole of market sourcing and provides leading functionality and dynamic features. Mortgage Brain offers online and offline multiple client specific searches and personalised best buy tables to help you to deliver a first class service to your clients.

Key business benefits

  • Discounted through Bankhall
  • Whole of market sourcing
  • Budget Planning and Stress Testing functionality
  • Online training provided

Marketing & Business Development

Business Development

Through our team of experienced Business Development Managers we offer support to firms using a range of tools to help them build new business propositions or review existing ones. The team will look at areas such as client segmentation, sales process, proposition, pricing, profit models, remuneration structures and business profile. This support is delivered in a number of different ways; Regional events held with a maximum of 12 to 15 delegates, aimed at business owners and key people of influence within Member firms. The focus of these events is to facilitate the sharing of best practice by those attending and encourage an open discussion on a number of topics, whilst also giving delegates time to discuss any other topics that interested them. These will cover a wide variety of regulatory and business topics as well as provide valuable networking opportunities. These are supported by face to face support for ‘Elite’ members either as follow up or on an individual consultancy basis. Business owners have an opportunity to stand back from their business, review their structure, propositions and profit, share and hear ideas from other practitioners and peers.

Key business benefits

  • Coach and mentor individuals in that role understand their regulatory responsibilities
  • Ability to test and develop skills in a safe environment
  • Training delivered by our own experienced team

Guidance on Mergers and Acquisitions

Our due diligence support service is an invaluable resource if you are considering acquiring or merging with another financial services business. We will provide you with a consultant who will test the firms systems and controls, review complaints and review files in order to highlight any potential risks that the purchasing firm could be exposed to. Our team will also accompany you on a pre-visit fact find of the business and provide sample confidentiality agreements and pre-visit letters.

Key business benefits

  • Understanding of potential risks to purchasing business
  • Advice every step of the way
  • Informed decision process
  • Expert analysis


Moneyworks is a quarterly publication produced by Bankhall to benefit you and your customers. In an ever-changing and demanding financial world, the publications helps to keep customers informed and educated about the issues affecting them has never been greater. The consumer facing publication will be the perfect way to keep your clients up to speed with financial developments that will be relevant to them.

Bankhall will produce Moneyworks for you and your customers four times a year and rather than being a generic publication, we will be able to produce a bespoke magazine that is personalised for you and your customers.

This service will allow your customers to know it is your very own magazine and provide you with a branded cover, personalised editorial content and the choice of subjects and features that matter to you. In short it will be a personalised publication that showcases you and your business in the best light while also offering a valuable tool to your customers.

Key business benefits

  • Compliance approved consumer publication
  • Topical and thought provoking stories
  • Personalised publication
  • Retention and recruitment tool


​​​​​Mybenefitsatwork is an employer customer service where you can a friendly, dynamic, employee-facing benefits website. All to enhance your service levels and service portfolio.

Mybenefitsawork can create a site for each of your customers. A site that tells their employees all about the benefits they provide - including how auto-enrolment affects staff personally.

Customers can include information on their range of employee benefits such as cycle to work schemes, life assurance cover, critical illness cover and season ticket information.

And because each client’s site is built, hosted and maintained by Mybenefitsatwork it involves very little work for you, or for your customers.

Key business benefits

  • You can gain an additional revenue stream
  • The prospect of renewal income (once offered, very few clients withdraw Mybenefitsatwork).
  • Employer customers are able to bring benefits to life and demonstrate their value using 24/7, mobile friendly technology
  • Employer customers can clarify everything from auto enrolment to salary sacrifice in friendly, everyday language
  • A service where employer customers can update their employees quickly and cost effectively, so they are always compliant.

Professional Services

Discretionary Fund Management

​Venturing into discretionary fund management opens up an exciting opportunity to manage your client portfolios more proactively and efficiently. But for many firms, obtaining discretionary permissions can also be a daunting and onerous task.

That’s why Bankhall has developed the four-stage EARR Discretionary Management Programme, to give you as much support as you need to help you obtain discretionary permissions and assist your business thereafter.

Whether you’re thinking about obtaining discretionary permissions, or if you already have them but aren’t sure what to do next, Bankhall’s four-stage EARR Discretionary Management Programme could unlock the benefits of DFM for your business.

To find out more about how Bankhall’s four-stage EARR Programme could benefit you, download the brochure or contact the Professional Services team for more information. 

To request a brochure or find out more about this service, please contact us using any of the links below.

Key business benefits

  • ENGAGE. Understand whether discretionary permissions are right for you and how you could benefit from obtaining them.
  • AUTHORISE. Submit a fully completed application for discretionary permissions.
  • RUN. Understand the requirements which will affect your provision of compliant services.
  • RETAIN. Align the services you offer your clients with your business goals.

Past Business Reviews

​If you have recently found yourself in need of a Past Business Review, the experts at Bankhall can work with you to create a bespoke, practical solution at as little cost to you as possible.

For many firms, Past Business Reviews can be an unwelcome and potentially expensive disruption made reactively to address concerns identified by a compliance review. But they can also be an opportunity. Past Business Reviews give you the chance to identify areas for improvement within your business and embed the changes that will set you up for long-term success.

Whether you’re responding to gaps identified in a recent compliance review, or are seeking to proactively identify areas for improvement to enhance your reputation, the experts at Bankhall will give you the tools you need to ensure success.

To request a brochure or find out more about the service, please contact us using any of the links below.

Key business benefits

  • Develop a review strategy and agree outcomes
  • Assessment of your firm’s compliance processes and attitudes
  • Support you in your engagement with the FCA
  • Produce a comprehensive report detailing the findings of your Past Business Review
  • Work with your key stakeholders to understand and address the findings of the review
  • Deliver remediation services of any scale, in response to a Past Business Review