The Compliance Department

Phone: 01270-303179


T&C is one of those things that often kind of gets forgotten in an IFA firm.

Not good.

Especially not with the advent of the Senior Managers and Certification Regime (SMCR).

Now a director / partner in the firm has a designated individual responsibility to oversee all certificated staff (this includes virtually everyone in the firm).

The T&C operation in the firm needs to be on point.

The problems are

  • There may not be someone at the firm with the necessary skills / qualifications;
  • Even if there is, T&C / Supervision is not a core activity at an IFA firm, so why pour time and effort into an activity when that time can be more usefully applied?

We can help. With the required expertise, knowledge and qualifications, we can help you run your T&C scheme.


Want to know more?

Phone: 01270-303179