At Peritus we know how important compliance is for all of us to ensure we are delivering great customer outcomes. We must all adhere to a set of regulations and guidelines set out by the Financial Conduct Authority (FCA) and that is why we have developed our compliance procedure to be robust but also take a common-sense approach. We focus on being as supportive of our advisers and appointed representatives as possible.
We ensure that the systems and controls that advisers and appointed representatives need to have in place are maintained with our centralised systems. We provide clear simple-to-understand guidance on any compliance changes that need to be made. We supply your advice process documentation, branded as you wish and work with you to ensure your proposition is reflected compliantly within any client-facing documents.
We provide a compliance and T&C visit each year to your firm and all your advisers and ensure you maintain your authorisation in line with the senior managers and certification regime.
Our compliance support includes...
If you’re interested in our proposition call 0203 745 5893 for a no obligation chat. Or fill in the enquiry form and we’ll get in touch with you.
or call us on: 0203 745 5893
