ComplianceIT.com has been designed to provide brokers with low cost access to compliance consultancy, with downloadable documents and templates for immediate use. Templates include those for TCF, money laundering, and pre- and post-MiFID complaints.
Joanne Roberts, director and co-founder of Need An Adviser, said: “When I searched for low cost compliance templates for my firm, I found compliance consultants only offering to see me on expensive call outs and not one offering just simple template documents and procedures that I could use. Being a compliance expert myself, I decided to build a solution. ComplianceIT.com makes available hundreds of pages of documents, templates, procedures, notes and more at low cost.”
Roberts claimed that the site has the potential to save the average directly authorised, category B3 firm approximately one day a week in reduced compliance administration time. She added it was time that advisers were treated fairly when gaining access to compliance help without very large consultancy fees.
Steve Brockman, director of A2B Mtg Co Ltd, commented: “A lot of intermediaries have got their compliance situation sorted out by now. TCF concerns a lot of people, but the Association of Mortgage Intermediaries has published a set of TCF documents that are very good and can be accessed for cost of annual membership, while many templates are available from the FSA for free.”
get the daily news delivered to your inbox
download our news ticker
find the latest industry jobs
