Mortgage & Insurance Advisers
Compliance Support Retainer
Rockstone Compliance can provide you with retained support, virtually acting like your firm’s Compliance Manager. As part of this retained contract, we will support your firm by overseeing the compliance accountabilities which include the following;
- Compliance advisory ‘Helpdesk’;
- Overseeing the Compliance Monitoring Programme (CMP);
- Policy manual set up and regular reviews;
- Implementation of firm specific compliance forms (Initial Disclosure Documents / 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, so please do get in touch to discuss what further support we can offer your firm.
Full support packages start from £375.00 + VAT per month
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.
- General compliance visit for file checking, T&C and TCF
- Completion of RegData returns;
- Delivering bespoke training (either in person or via video link)
Onsite Visits – Cost quoted per hour or day, dependant on activity required or location.
File Checking
Files can be checked in various ways, either in-house or remote checks. Remote file checking is more cost effective, and arrangements can be made for us to access your CRM easily.
Remote file checking - £55 + VAT per file
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 – From £25.00 + VAT per document
