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

“I would like to comment on the service and professionalism delivered during my compliance visit, James Gibson is a valuable to asset to SimplyBiz. Thank you once again for your support and guidance.”

Adrian Sipson
Lister Group

Read More

Latest News

The new HMRC Trust Registration Service - what advisers need to know

June 16, 2017

The new HMRC Trust Registration Service - what advisers need to know

Read more >

"Treat all those you care for with love while you can"

June 15, 2017

As this is my first column for about seven weeks it will be a very personal one and I would like to start by thanking the many hundreds of financial advisers and others in our great profession who have sent messages of condolence and support to me on the sudden loss of my beloved wife, Jennifer. 

Read more >

Keeley Paddon: Considerations for a positive DB transfer recommendation - Part 2

June 08, 2017

Read more >

NMBA - How Govt's apprentice funding freeze risks the future of advice

June 06, 2017

Existing training providers have seen their funding slashed while advice firms have to wait longer to register their employees for apprenticeship schemes.

Read more >