The UK's no.1 provider of compliance and business support to financial advisers.
Quality regulatory services, the industry's leading technology solutions, business growth propositions and an unrivalled commitment to professional development; for directly authorised firms, SimplyBiz is the support partner of choice.
SimplyBiz Chairman, Ken Davy, gives his view on some of the key issues currently affecting advisers, their businesses and their clients.
The arrival of MiFID II will see a new section added to the FCA Handbook, which refers to the requirement to make transaction reports to the FCA.
Back in the GDPR
If you have not begun to prepare for GDPR, we explain what you need to do be compliant by the 25th of May 2018.
"I would recommend that anyone contemplating the journey towards direct authorisation enlists the assistance of SimplyBiz. They are veterans of the direct authorisation application process and have succeeded thousands of times at taking firms through to successful authorisation. SimplyBiz made the whole application process less stressful and easier to manage, particularly when it came to corresponding with the Regulator.
All of the staff at SimplyBiz that I have had the pleasure of coming into contact with appear to be very highly trained and good at what they do. The overall impression is that they have the right people, with the right skills, in the right job, that enables them to get the right result. It gives me great pleasure to be associated with such a forward looking, pioneering and progressive organization.”
CW Capital Management
Member Firms at the
of everything we do AND
every decision we make.
SimplyBiz was launched back in 2002 with the belief that advice firms were most successful when operating with complete freedom. Since that time and with each change in regulatory framework, it is increasingly true that direct authorisation is the only way that firms can achieve this autonomy.
SimplyBiz has grown to become the largest regulatory and business support provider for directly authorised firms. Since our inception, our focus has remained consistent; to provide everything advisers need to operate compliant, efficient and profitable businesses.
As Chairman of the SimplyBiz Group, I’m lucky enough to meet thousands of advisers across the UK each year and I never fail to be impressed by the innovation and resilience shown within our sector. Advisers deliver quality financial planning for the benefit of millions of individuals and families across the UK, and I’m proud to fight the advisers’ corner on key issues to ensure this continues to be the case.
Ken DavyChairman, SimplyBiz Group
THE REGULATORY BURDEN.
REGULATION it's what we do every day
The sheer volume of regulation and the frequency of change within our industry creates substantial demands on advisers’ time. To ensure that your time is spent where it should be - in front of clients - you should choose a quality support partner with a proven track record of helping firms to meet the processes and standards of the FCA.
Our comprehensive compliance service is the product of over fifteen years’ experience of working alongside the FCA and supporting thousands of advice firms in their day-today operations.
From compliance documentation to onsite visits, specialist technical helpdesks to file checking services, we provide whatever you need to keep your focus on delivering great advice. FCA regulation is what we do every single day and no other provider can match our expertise.
Gary KershawGroup Compliance Director
A RANGE OF SUSTAINABLE
Grow and add value to your business
To help firms reach their potential, we offer a range of business growth and diversification services. Covering investments, pension transfers, protection, legal services, workplace advice, auto enrolment and more, our growth services help your firm develop valuable new income streams while enhancing your client proposition.
Whatever your aspirations for your business’ future, SimplyBiz will provide timely and relevant support propositions to help your respond to the needs of clients and capitalise on opportunities presented by market.
Matt TimminsJoint Managing Director
OF THE PACKAGE
SUITS YOUR NEEDS.
EFFICIENCY as standard
Quality tools that ease the operational burden are no longer just ‘nice to have’; they’re a vital part of running a compliant and efficient business. At SimplyBiz, we provide a range of tools designed exclusively for SimplyBiz Members, and use our scale to offer access to many of the industry’s leading technology solutions on a complimentary or heavily discounted basis.
We can help you source back office, risk profiling and research tools, and a solution to help with your accounting in respect of GABRIEL. Our recently revamped adviser website service takes your online presence to the next level and future-proofs your business against a changing market for financial products and services.
Neil StevensJoint Managing Director
TO HELPING INDIVIDUALS
THEIR PERSONAL &
Our commitment to development
Professionalism has never been higher on the regulator’s agenda and, as such, having access to quality development opportunities is essential. SimplyBiz delivers over 320 events across the UK each year and by working closely with the major accreditation bodies, we ensure that the vast majority provide of our events provide structured CPD for your records.
From our flagship Learning and Development Events to our acclaimed Investment Forums and Mortgage Masterclasses, our events programme is unparalleled among other providers. Whether you want to network with fellow advisers, receive the latest guidance and regulatory hot topics from our policy team or simply discuss best practice tips over lunch, our events provide something for everyone.
As the market changes and new opportunities and challenges arise, we evolve our development offering to ensure you and your team are equipped with the knowledge you need to meet your clients’ needs.
Rachel LeeDirector of Corporate Events & Member Liaison