Services for IFA firms
Specialist risk and compliance support for Independent Financial Advisers
We work exclusively with regulated financial advice, wealth management and investment management firms, providing the independent expertise you need to operate with confidence.
What we do
Financial Advice Case Checking
Rigorous suitability reviews and file checking for financial advice cases. We assess advice quality, identify risk, and provide clear, actionable feedback.
Learn moreTechnical Advice
Deep technical guidance on complex financial planning matters. Our specialists provide the analysis and second opinions that give your advisers confidence.
Learn moreComplaints Handling and Support
End-to-end regulated complaints management from initial assessment through to resolution, including independent persons and investigating officers.
Learn moreTraining and Competency Support
Design, review, and assessment of T&C schemes and competency frameworks. We help firms build and evidence a culture of ongoing professional development.
Learn moreAcquisition Support
Independent due diligence and compliance assessment for IFA acquisitions. We identify regulatory risk, assess advice quality, and support informed decision-making.
Learn moreRemediation Exercises
End-to-end support for past business reviews and remediation programmes, covering scoping, case assessment, redress calculation and client communication.
Learn moreMystery Shopping
Independent assessment of your firm's advice process from the client's perspective. We identify gaps in the customer journey and provide clear, actionable findings.
Learn moreSkilled Person Support (s166)
Expert support for firms subject to a Section 166 review. We work alongside skilled persons, assist with information requests, and help firms navigate the process.
Learn moreReady to work with a compliance partner you can trust?
Whether you need a single case review or ongoing compliance support, we are ready to help. Get in touch to discuss your requirements.