REGULATION

Our priority is keeping your business compliant.

The regulatory support provided by SimplyBiz is second to none. After all, no-one has more experience in providing directly authorised advisers with the framework and guidance required to run a compliant and successful business.
 

Document Resource - Vision

Built on both the solid principles that have been the foundation of SimplyBiz since we began and on our extensive knowledge and experience of the marketplace, Vision was created to provide advisers with peace of mind. Follow the Vision operating model and you are following the compliance blueprint that sits at the heart of our very business.


Compliance Helpdesk

Unlimited access to our dedicated compliance helpdesk. Each member of this team holds a great deal of knowledge, experience and expertise on the impact of regulation upon financial advisers, and work hard to ensure they are constantly up to date with topical compliance issues.
 

Pensions Technical Helpdesk

Unlimited access to our pensions technical helpdesk. The highly regarded pensions technical team bring a wealth of experience and are always available to handle your queries and provide guidance across all pensions and tax matters.


Compliance Visits

Delivered by one of our team of experienced Field Managers, our field visits range from general practice healthchecks to visits themed to meet the individual needs of a specific business. Our field team work closely with advisers to ensure they are confident in how to address any issues identified and detailed feedback is provided after each visit. 


Events Programme

Spanning over 350 events across the UK, our events programme enables advisers access to a wealth of development opportunities. The vast majority of our events provide structured CPD for your records runs, with our flagship Learning & Development Events delivering a dedicated compliance presentation focussing on regulatory hop topics. Our events provide the perfect platform for Members to share best practice, network and maintain their skills and knowledge.
 

Regulatory Bulletins

We issue a regular compliance bulletins to bring Members up to date with any regulatory issues which might affect them and their firm. Compliance and Technical Times is our main regulation update, Pensions Update covers anything you need to know about pensions and Smarter Business offers tips, guidance and support on how to maximise efficiencies in your business.

Testimonials

“Extremely happy with all service provided and continuing industry support from Ken Davy promoting us as IFAs ”

Brian Skinner
Echelon Teesside Ltd

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Latest News

Government must help meet the needs of the elderly

October 11, 2017

Being able to congratulate the FCA, while not by any means a first, is not something I am able to do regularly.

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"A princely way of looking at succession issues"

October 04, 2017

Seeing all the stories about Prince George starting school set me thinking about longevity and business succession issues for financial advisers.

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"Providers must allow tax deductible advice"

September 28, 2017

Knock, knock. Are you there? More importantly, are you listening?
I ask this question because of the enormous opportunities the current market is presenting for each and every adviser, whether working within a large firm or a one-person practice, as an independent adviser or restricted.

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Fos report is a dollop of gruel for advisers

September 19, 2017

Cold porridge and cold comfort have a lot in common: such meagre offerings do not come close to being satisfying.

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