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Tip Sheet Firms

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The Challenges

  1. Compliance with the FSA's new rigorous approach to financial promotions in a way that is consistent with their business objectives
  2. Ensuring that the firm has the right authorisation to do the business it wants to carry on
  3. Dealing with FSA enquiries and threats of disciplinary action.
  4. Setting up internal procedures, notably on financial promotions, training and competence and complaints

Solutions

Help for you

Adam helps a wide range of organisations like yours - from dispute resolution centres, law firms and publishers to life assurers and small IFAs. For a complete list click here

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