Monitoring Programmes and Services

Premier Service

£325 per month for advising Principal, plus £100 per month for each additional Registered Individual, although you select the level of service you require.
Quarterly visits of possibly one or two days which include, by way of example:

Single transaction file checks with written and verbal feedback – up to 4 per visit for each RI
Half yearly KPI data - help with collating and presenting
Annual compliance consultant’s ‘FSA style’ audit report, including a TCF overview
Review of Anti-money Laundering reporting
Review of Data Protection Act
Annual role plays (i.e. one fact find and one presentation) if requested, or ‘Competency Assessment’ if preferred
Review of CPD files
Monitoring programme to review adviser ongoing competency
Stationery approval (e.g. client agreement, CIDD, email, promotions etc)
Updates on compliance issues, e.g. FSA ‘updates’
Access to checklists, registers, template reports and guides via email, as appropriate
Email and telephone support.

Executive Service

£200 per month for advising Principal, plus £50 per month for each additional Registered Individual, although you select the level of service you require.
Half yearly visits of possibly one or two days which include, by way of example:

Single transaction file checks with written and verbal feedback – up to 4 per visit for each RI
Annual compliance consultant’s ‘FSA style’ audit report, including a TCF overview
Half yearly KPI data – help with collating and presenting
Review of Anti-money Laundering reporting
Review of Data Protection Act
Stationery approval (e.g. client agreement, CIDD, email, promotions etc)
Updates on compliance issues, e.g. FSA ‘updates’
Access to checklists, registers, template reports and guides via email, as appropriate
Email and telephone support.

Standard Service

£100 per month.
By way of example:

Stationery approval (e.g. client agreement, CIDD, email, promotions etc)
Updates on compliance issues, e.g. FSA ‘updates’
Access to checklists, registers, template reports and guides via email, as appropriate
Email and telephone support.

The suggestions above are example and we welcome discussing your requirements, amending or building a bespoke service to suit your own needs.

Please contact us for further information.

Thanks for the email and reports. It was a pleasure to see you - makes Compliance visits bearable.

Elizabeth Crabb

MICHAEL CRABB INDEPENDENT FINANCIAL SERVICES