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Core Compliance Package

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Monthly CORE Package

£125 + VAT per month

Our monthly CORE package includes all elements of our compliance offering. If you require additional items on top of the core package, then we are these at a discounted rate.

Our monthly CORE Compliance Package includes:

  • Firm Engagement Visit*
  • Access to the Document Library
  • Access to regular Compliance Bulletins giving you an overview of recent and planned regulatory changes
  • Access to an Online Test license
  • One File Review per month – this will focus on business quality, affordability, documentation & disclosure – feedback will be provided for your reference
  • Access to an experienced Field Compliance Manager for day to day general telephone queries

*A Field Compliance Manager will visit your office or home and complete a regulatory review of your business. They will discuss subjects such as the sales process, structure of the firm, complaints, recruitment and general systems and controls that may or may not be in place.

After the visit, they will provide you with a report detailing the topics covered, with guidance and recommendations. The report can also be used as reference material when meeting with the regulator.

Package Add-Ons:

  • File Assessment (1 per adviser) – £50 + VAT per month per additional file

This will focus on business quality, affordability, documentation and disclosure – feedback will be provided for your reference.

  • Online Test (1 per adviser) – £50 + VAT per year

TMA will provide access to interactive online tests that will help you and your staff comply with business regulations, covering topics such as GDPR, fraud and the Data Protection Act.