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Compliance
Compliance is at the heart of our support offering. As a Bankhall member you could have direct access to our highly qualified compliance officers based throughout the country. They will be on hand to provide business monitoring assistance and to offer guidance on how to mitigate the impact of both regulatory and commercial risks.* Bankhall's expert Compliance Consultancy Team can provide members with vital annual audits, health checks and risk assessments on key issues facing our member firms. Additionally, our Compliance Team is available to perform regular file checks, assist firms in preparing for FSA themed visits, provide guidance to advisers effecting high risk transactions and offer training and competency services. Our file review service is available at your offices or remotely, giving you flexibility over when and how your files are reviewed. Bankhall can also provide members with varying degrees of complaints handling, from pre-vetting of final management decision letters and correspondence with the Ombudsman, to assisting members in handling a complaint. Our professional and experienced Complaints Team is always on hand to assist members through complaints handling in any way they can. Bankhall members also have access to a library of business templates designed to assist firms with a wide range of regulatory record keeping requirements, reporting and documentation of other compliance arrangements or policies. Our Compliance Support Unit (CSU) can offer email and telephone support on a wide range of compliance issues and could also offer helpful advice and produce written feedback on disclosure documentation, financial promotions and websites.** Bankhall prides itself on superior compliance support and is proud to be the winner of Professional Advisers IFAs Best Support Services Award for 2005, 2006 and 2007. For more information on our Compliance Services, please contact our team on 0845 003 0400, OPT1. * Please note the breadth of compliance services available is dependent on membership type chosen.
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