The service
A positive compliance experience.
Our compliance service, established in 2017 and currently powered by the Apricity brand, was originally borne from a desire to deliver a positive, pragmatic and useful compliance experience to the often-deemed oppressing world that can be financial regulation.
Producing top quality files should be a given for any firm, but with the ever-changing nature of regulation, an external pair of eyes really does make all the difference. In addition to gaining peace of mind that you’re on the right side of the FCA, our file checking service provides valuable insight in identifying trends appearing at certain parts of your advice journey.
The difference
Producing top-quality, compliant files for all.
Industry leading turnaround times.
Clients can expect to receive their files back in 5 days. Or pre-sale file checks have the ability to be back in 3 days. Yep. 3 days.
Highlighting the good.
We provide practical, helpful feedback, including highlighting the good.
Helping prevent future issues.
We’re pragmatic in offering any process changes that can prevent future issues.
Competitively priced.
Our file checks are priced competitively, meaning compliance isn’t cost prohibitive for any firm.
Full understanding.
We’re not “only” compliance people; we understand the full advice process and so provide common sense feedback.
We apply common sense.
We don’t assume that if something’s not on the file it doesn’t exist. We chat with you, askfor anything we need, and review the case in its entirety.
In our experience, compliance consultants normally sit on the fence. However, the team are clear and confident in their response to queries.
Anjeanette Kemp
Informed financial planning
Let’s Talk
Want to know more about our file checking service and how it can work for you?
Get in touch to learn more and chat with our experts about how we can best support you and your firm.
Book a chat Send us an email
Consumer Duty
It may seem all-consuming, but we’ve got your back. From regulatory help to resource, from PROD to paraplanning, we’ve got you covered.
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Regulation
Experience has taught us that often firms know what is needed, they just don’t have the time to implement it themselves – that’s where we can help.
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