COMPLIANCE SUPPORT
No two advice firms are identical. So we offer a range of support options, so you get the oversight you need at a price that makes sense for you.
What's on the menu?
Let us know what you need from our range of services, and we'll identify the most cost-effective way to deliver them. No fluff, no nonsense. Just the compliance support you need.
Compliance Support Unit
We'll conduct a stationery and document review — everything from disclosure documents and letterheads, right down to your business cards — to make sure they're suitable for issue. We can also review your financial promotions and give feedback to help them comply. You'll get reg data support, and access to the CSU helpdesk, so you can get answers to questions on the fly.
Technical Helpdesk access
Our technical consultants are available to answer queries on a range of complex topics including financial planning, pensions, investments, tax planning and protection.
Bankhall Online resources
Access a huge library of templates and forms, find regulatory guidance, access an archive of past bulletins, and find insightful articles from leading industry thinkers.
Weekly regulatory email bulletins
Our regular reports identify and highlight key changes to FCA regulation, using a simple traffic-light system so you can see, at a glance, what actions you need to take.
Suitability letter templates
These give you the content to create suitability reports for firm use across all areas of advice.
Events programme
Meet with likeminded business, pick up tips and best practice, and get face-to-face with providers and lenders. Many of our events carry CPD points and are always free to attend.
Post-sale file review
We'll review your files to help ensure the advice you're giving, and the paperwork you're creating, satisfies your customer's needs and meets regulatory obligations. Our feedback is constructive and focused on helping you get things right first time.
Compliance audit
Get an expert, independent review of the key risk areas in your firm, as well as recommendations on how to manage any identified risks. You’ll receive verbal feedback on the day of your audit, followed by a detailed report.
Compliance Support Day
Use it for whatever your focus is. You can add more days as and when you need them — and many of our clients choose this option.
“I'd rather questions I can't answer, than answers I can't question.”
Angela Whillians, Head of Compliance at Worcester's Financial Advice Centre, tells us how our support has made a difference for the business — and her personally.
Pre-sale file reviews
We'll review both the quality and suitability of your advice, before the customer ever sees it. Invaluable when advising in high-risk areas, when advisers are inexperienced, or when it's been a while since you last gave advice in a specific area.
Complaints handling service
Our highly experienced team can provide an end-to-end case handling service, or support you to address any individual element of an ongoing complaint.
Bespoke e-Learning modules
Whether you’ve identified a specific set of training needs within your organisation or would like to brush up on the latest hot topics, we can create something just for you.
Website review
We'll review your website in full from a compliance perspective, then give you a concise report with feedback and recommendations if you need them.
Advanced compliance audit
An in-depth service that'll help your firm understand more about its business risks, systems and controls, policies and procedures, and regulatory governance.
Your Learning Hub
Our learning management system that facilitates, tracks, records and monitors your ongoing development, while helping to fulfil your firm's annual CPD requirements.
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"I always felt that I had a knowledgeable and approachable partner alongside me, which made the journey far smoother than I expected."
Verity M. Olaiya, The Mortgage Muse
Get started
Let's have a chat about the support you need, and take it from there.
Learn more about the Bankhall experience
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Operational support
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Helping you grow
Disclaimer: Firms always remain responsible for their own regulatory compliance, as outlined within Bankhall's client terms.