LETS MEET FOR A VIRTUAL COFFEE
Please fill out the form and we will get back to you shortly.
Service
We have no limits
Why Choose us
We Care about the outcome
At Simple we want our clients to be able to be confident that they are doing the right things, professionally ignorance is not an excuse. Traditionally in many different professions people are often afraid of engaging in the compliance process at first, as they feel judged and scrutinised. At Simple our standards are high, we want your business to be compliant so that your risks are managed, but we want to work with you in a balanced way to create a culture in your business that is sustainable. Our services cover the range of business needs as detailed below but, if there is something you require that you can’t see please contact us our service really is bespoke.
SM&CR
SM&CR needs to be integral to every decision you make for the future benefit of your business.
So, in our role we help integrate the principles of SMCR into your business.
The rules apply to everyone in your firm- As such with our guidance every employee can understand how conduct rules apply to them and to the role they perform.
File checking
File checking has always been a cornerstone of risk management within a financial services business.
We are able to check files with accuracy, turn around speed and reliability with regard to regulation and your own firm’s requirements.
With DB transfers and the FCA Guidance Consultation paper having changed the Pension regulation environment File checking has never been more important.
The recording of your advice event has always been as regulated as the advice itself, but now your file should demonstrate suitability not just your report.
Training
The fluid movement of each cog in a machine, in unison, ensures high performance of that machine.
The oil in that machine is good communication.
On-going Developments within Financial Services demonstrates how essential staff training can be.
Whether for the Advisor, Paraplanner or Administrator ensuring staff understand your Firm’s requirements and obligations as a whole and their individual roles is essential to maintain the integrity of your business.
Suitability
The landscape when it comes to suitability of advice is an ever-evolving vista. The FCA state that ‘too much advice is not of an acceptable standard’. Our focus is to ensure that all your processes are designed with end in mind- that is the delivery on a consistent basis of suitable advice for each and every client.
Audit Outcomes
For many, on-going compliance support from a major provider results in an annual audit providing a breakdown of what was right and what was wrong. This is the end of the support process.
At Simple we work with our clients to create positive outcomes based on the Audit feedback received, working with clients to create systems they feel able to implement.
Targeted Support
We will work with you looking at the various components within your business and ensure they are working for you.
We work with your strengths and work on your weaknesses.
Costs
At the heart of every good service is affordability.
We do not have packages as our service is bespoke, however we realise the need to be affordable.
With that in mind we agree terms with you depending how much time you require.
