Compliance

Financial Services is heavily regulated, there is no let up in the amount of reporting and controls which are in place, amended and refined. There’s administrative compliance, concentrating on background procedures and reporting, and there’s client compliance dealing with the advice process, PROD, creating CIP/CRPs and building charging structures. In any situation compliance cannot be ignored, so the question is do you do this internally or bring in the experts. There is or course benefits to outsourcing

• Frees up your time to do what you are good at
• Experts know this inside out. It’s a complex area.
• The benefits of good compliance will outweigh the cost, making it value for money
• Different experts, different angles and new ideas. It’s not just about compliance but also about growth and development.

Masters of One have compliance capability, click on the member firms below to find out more