REGULATION

Our priority is keeping your business compliant.

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

"I wanted to put on the record how grateful we are for the support, advice and help we have received from our application manager, Tim Prest, and all the team at SimplyBiz.  If we've ever made one absolutely, 100% correct business decision, never to be questioned or re-considered (even with the benefit of hindsight) - employing the services of your firm would be it!"

Chris Lee
Lee Financial Planning

Read More

Latest News

Matt Timmins: New guidance body has no right to word 'advice'

October 20, 2017

Much more needs to be done to help educate consumers on the vital difference between receiving guidance or advice

Read more >

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.

Read more >

"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.

Read more >

"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.

Read more >