the DIRECTORY
Hands on Compliance Limited  logo
125 Norwich Road
Wroxham
Norwich
NR12 8RY
T: 07771960724
E:
www.handsoncompliance.co.uk
No. of consultants: Sole
Geographic area covered:
  • National

Hands on Compliance Limited

Flexible, friendly and affordable Compliance and Pension Transfer Specialist support for the small to medium sized directly authorised Financial Advisory firm.

Whether you require a full risk management solution, accompanying annual compliance activity programme and ongoing face to face support, or one off services to address a specific area of need, we will be happy to offer a level of service suited to your needs and budget.

Our fees are straightforward with most services being subject to either a daily rate or fixed fee. No retainers are involved and fees are not subject to VAT.

An initial consultation is provided at no cost.

types of client firm served:

  • IFA (incl IFA divisions of financial institutions)
  • Restricted financial advisers

services offered:

  • Advice pre regulatory risk assessment or supervision visit
  • Complaints Handling Reviews
  • Compliance advice
  • Compliance Support
  • Compliance Training
  • Documentation
  • Due Diligence
  • File Review
  • Health Checks
  • Mis-selling Reviews
  • Pension Reviews
  • Regulatory Returns Assistance

Services to other firms:

  • Locum/Mentoring/Buddying
  • Temporary Consultants