Manor Lane
Upper Leigh
Stoke on Trent
ST10 4SN
T: 07709 362482
No. of consultants: Sole
Geographic area covered: Midlands and North West
  • Midlands
  • North West

Alison Smith

APFS Chartered Financial Planner qualified freelance compliance consultant, providing compliance assistance to small IFA & mortgage broker firms in the Midlands and North West on a retainer or ad hoc basis. 

types of client firm served:

  • Authorised Professional Persons
  • Friendly Societies
  • IFA (incl IFA divisions of financial institutions)
  • Insurance Brokers - Pure Protection Products
  • Mortgage Brokers
  • Restricted financial advisers

services offered:

  • Advice pre regulatory risk assessment or supervision visit
  • Authorisation -FCA
  • Complaints Handling Reviews
  • Compliance advice
  • Compliance Support
  • File Review
  • Health Checks
  • Mis-selling Reviews

Services to other firms:

  • Locum/Mentoring/Buddying