Credit Brokers
Compliance Support Retainer
Rockstone Compliance can provide you with a retained support function, supporting your firm as appropriate.
Packages start from £375 + VAT per month.
Compliance Accountabilities
- Compliance advisory ‘Helpdesk’;
- Overseeing the Compliance Monitoring Programme (CMP);
- Policy manual set up and regular reviews;
- Implementation of firm specific compliance forms (Terms of Business / Sales Processes);
- Sales Quality Reviews (file checks);
- Technical Support – marketing guidance / website compliance;
- Completion of FCA RegData returns or Connect Applications;
- GDPR / Data Protection Compliance Support / Training;
- Overseeing supervisory model for CPD completion;
- Delivering personalised and firm specific annual training programme;
- Complaints handling support – from investigation through to final resolution.
The above is only an indication of the service offering and as such we are happy to provide a provision that suits your firm.
Ad Hoc Support
This includes compliance visits, documentation, complaint and advertising support etc. You may require an ad-hoc visit for any number of reasons including:
- One off ‘Healthcheck’ reviews to establish how compliant any aspect of your business is.
- Pre-FCA inspection visit to help you prepare
- General compliance visit for file checking, T&C and TCF
- Training days
Onsite Visits – Cost quoted per day, dependant on location.
Compliance Policy Implementation
We have a full range of documents available to buy as one-off purchases or they can be provided with our comprehensive support package. Compliance documentation will be tailored to meet the needs of your firm; whilst also meeting the requirement of the regulator.
Compliance File Implementation - £25.00 + VAT per document
