Compliance

Our adviser portal gives you access to essential compliance documents whenever you need them, from wherever you are. From our full compliance manual and compliance registers, to suitability letter checklists, T&C plans, TCF templates and more.

Get advice and practical guidance from the experts at Bankhall on the design of your business stationery and your regulatory disclosure documentation.

Designed to provide you with flexible compliance support designed around your business, you can use your compliance assist day for whatever you need, from practical delivery of training and competence support, to reviewing your sales process.

Get an expert, independent review of the key risk areas in your firm, as well as recommendations on how to manage any identified risks, with a Bankhall compliance audit. You’ll receive verbal feedback on the day of your audit, followed by a detailed report.

Our highly experienced team can provide an end-to-end case handling service, or support you to address any individual element.

If you’re new to direct authorisation, then you could benefit from a compliance implementation day, designed to help you build your firm’s regulatory foundations. Our experts will assist with the introduction, implementation and design of all key systems required to meet the needs of directly authorised ?rms.

Bankhall’s CSU helpdesk gives you access to our experienced team via phone and email to answer your compliance queries.

Free for all Bankhall clients, our comprehensive events programme is designed to support you in your ongoing professional development. Whether you’re a financial adviser, a business owner or an administrator, with over 150 events taking place across the UK each year, Bankhall’s events programme ensures there’s something for everyone.

From blogs and newsletters to advertorials, Bankhall’s comprehensive review services are designed to give you peace of mind that all your client communications comply with FCA regulation and codes of practice.

Keep in touch with your customers with the quarterly MoneyWorks newsletter. Produced by Bankhall, we’ll personalise your copy of MoneyWorks with your branding so that you can then send it on to your customers as a quarterly round-up of some of the key topics relevant to them.