As a high net worth advisory, wealth management or DIM business, you will have a number of key areas to address:

  • Risk management and suitability of advice
  • Growth and succession planning
  • Systems and controls
  • Profitability
  • Efficiency of advice
  • Better client outcomes
  • Training, Competency and Certification
  • PI and financial resource

Regulatory support

Regulation is cited as the number one issue for advisers time and time again, and that’s why personalised, regulatory support sits at the very heart of the Signature proposition.

We will partner with you to understand your current business set up, work through your processes and identify where we believe our many years of regulatory experience and expertise can help your business.

After we have spent this initial time really getting to know you and your firm, we will build a personalised regulatory support framework to wrap around your business, calling upon the many solutions and experts within the Group to work in partnership with you. This could include:

  • Regular compliance and/or risk audits
  • Pre and post-sale file reviews
  • A personalised Training and Competence scheme,
  • Face-to-face support to help drafting documentation

As well as providing a bespoke framework in which to operate, we will also provide access to a wider range of core services, each personalised to your needs where required. This will include our extensive online documentation resource, highly experienced compliance and pensions technical helpdesks, regulatory bulletins and guides and the option to attend any of our many learning and development events, where we will always have a member of the Group Policy team on hand to deliver the latest regulatory update.

Your Business +
Our Support = Success
60 DEDICATED
COMPLIANCE
PROFESSIONALS
25 FIELD-BASED
COMPLIANCE
CONSULTANTS
8 PENSION
SPECIALISTS
20+ COMPLIANCE
HELPDESK STAFF

Regulatory services at a glance

  • Application service for those wanting to become directly authorised - we help more firms go directly authorised each year than anyone else
  • Compliance helpdesk
  • Financial promotions approvals
  • Field visits and thematic audits
  • Wider regulatory support such as audits, file reviews, fit and proper checks and more
  • Support with GABRIEL returns
  • Training and Competence Reviews
  • Operational reviews (system and controls)
  • Risk management
  • Assistance with ICAAP report
  • Senior Managers Regime support programme
What is Signature
Complete Investment Process
DIM Solutions
Pension Transfers
Senior Managers & Certification Regime
PII market
To talk to us about Signature,
please call the team on 01484 443 431