File and Past Business Reviews

Firms recognise that providing high quality advice is a key part of their business: ensuring that clients are provided with an appropriate service which meets their expectations, whilst also meeting the expectations of the FSA. The quality of advice offered by firms continues to be a key topic for the FSA, who have expressed doubts about the abilities of some firms to provide clients with demonstrably suitable advice.

Resources Compliance already assist a large number of clients in this area, whether it be for firms who do not have sufficient resources to undertake regular file reviews internally or for firms who wish to benefit from a more objective opinion.

Our file review process employs a tried and tested methodology generating both quantitative and qualitative outputs, which clearly explain any issues identified in the advisory and investment management process. All of our consultants are experienced in reviewing client files and carry minimum qualifications of FPC, we also have specialists in key areas (e.g. pension transfers, mortgages and investment management) who can be called upon to review more complex cases.

If you are interested in this service or if you would like to know more please click here to send us your details.