the DIRECTORY
The Westcombe Building
47 Sydney Barnes Close
Castleton
Rochdale
Lancashire
OL11 3DA
T: 01706 357 002
E:
www.realitycompliance.co.uk
No. of consultants: 2-3
Geographic area covered: Predominantly the north of England but will cover any UK location.
  • National

Reality Compliance

Reality Compliance is a compliance and business consultancy with expertise in retail financial services. The business was founded in 2011 by Chris Yates, who has 19 years compliance experience in regulatory roles and has dealt with the regulator on numerous occasions.

We provide a bespoke compliance service to match the individual needs of the directly authorised firm. The key services provided are:

  • Compliance visits (including annual audits)
  • Remote files reviews (including specialist areas such as occupational pension transfers, long term care and equity release)
  • GABRIEL completion assistance
  • T&C guidance
  • Assist firms when they engage with the FCA

There are no monthly fees/retainers, all services are payable on a pay as you go basis.

We have offer a paraplanning service, Reality Paraplanning (www.realityparaplanning.co.uk), which offers a full range of research, report-writing and due dilgence services. Contact hello@realityparaplanning.co.uk for more details.

 

types of client firm served:

  • IFA (incl IFA divisions of financial institutions)
  • Insurance Brokers - General
  • 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
  • Compliance Training
  • Documentation
  • Due Diligence
  • Enforcement Action - Financial Services
  • File Review
  • Health Checks
  • Mis-selling Reviews
  • Money Laundering/Financial Crime Advice and Reviews
  • Pension Reviews
  • Regulatory Returns Assistance
  • Regulatory Updates
  • Shadow s.166 reviews

Services to other firms:

  • Locum/Mentoring/Buddying