REGULATION

Our priority is keeping your business compliant.

GDPR hub

GDPR hub

Launched in advance of the May implementation of the GDPR, our dedicated hub provides templates, plans and guidance to help firms ensure they are managing their responsibilities in regards of handling client data. The hub also brings together ongoing communications, videos and event coverage to provide a single point of access for all things GDPR. 

People and Expertise

People and Expertise

From our expert policy team to our pensions technical helpdesk to our field compliance consultants, SimplyBiz employs the best talents of the industry. You can rest assured that our experienced team are wholly dedicated the compliance of the firms we service. We also have high levels of staff retention, which means our team will build a strong understanding of the systems and processes of your firm.

Compliance Documents

Compliance Documents

Written by our expert policy team, our comprehensive compliance document library covers both client facing and the operational side of your responsibilities. Whenever the FCA updates its guidance, we amend our documents centrally so you’re always up to date. We can provide a readymade compliant operating model for you to adopt, or you can use our compliance frameworks to build you own.

Compliance Helpdesk

Compliance Helpdesk

Whatever your query, our expert compliance helpdesk are on-hand to provide detailed guidance. Covering GABRIEL, financial promotions, disclosure documentation and a wide range of other areas, the helpdesk is your first stop when engaging our support. Our helpdesk consistently receives outstanding feedback and the team are dedicated to providing the highest standard of support. 

Pensions Helpdesk

Pensions Helpdesk

Providing specialist advice on all HMRC, DWP and FCA aspects of pension related issues, the pension technical helpdesk support our Members on all things pensions. Other specialties include SIPP/SSAS, carry forward, overseas residents and pension transfers. For firms advising in complex pensions and technical areas, the helpdesk is an invaluable resource. 

On Site Visits

On Site Visits

To ensure continuity in your relationship with us, you will be assigned a dedicated compliance manager in your area. You direct the agenda for compliance visits and you will receive a detailed post-visit report with recommendations where applicable. Your compliance field officer can also provide additional support before and during any meetings with the FCA.

File Checking Service

File Checking Service

Giving our Members added peace of mind, our file checking team offers detailed guidance on your client files and advice where required. Completed by our expert technical team, you can submit investment, pensions, protection, general insurance and mortgages files for our review. For urgent cases, we also offer an express service in case you need files reviewed quickly.

Regulatory Bulletins

Regulatory Bulletins

Whenever the regulator issues new guidance, we provide a plain English summary with information on any action you need to take direct to your inbox.  We also place all past compliance bulletins on the SimplyBiz Member website, so you can review our communications as required. Compliance & Technical Times covers general regulatory issues while Pensions Update is our review of recent pension matters.

Testimonials

Friendly, knowledgeable staff and a great source of help and support, particularly helpful with Gabriel reporting.

David O’Leary DipPFS
Primary Wealth Limited 

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Latest News

The shot in the arm that financial advice needs

April 25, 2018

I was invited to say a few words last week to the first group of 16 apprentices, beginning their two-year journey to becoming fully-fledged financial advisers through the New Model Business Academy’s Apprenticeship Programme.

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SimplyBiz Mortgages adds InterBay to panel

April 23, 2018

SimplyBiz Mortgages has added InterBay Commercial to its specialist lender panel.

SimplyBiz members now have access to commercial and semi-commercial lending, buy-to-let and HMO, and bridging loans.

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New data rules risk triggering claims industry

April 13, 2018

Mark Greenwood, Group Regulatory Policy Manager, acknowledges the new rules in GDPR, but adds some useful context for advisers.

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"30 years on, the principal still carries the can"

April 11, 2018

Ken Davy considers the future of networks given recent court rulings on who carries liability for the actions of Appointed Representatives.

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