0330 303 0236

Compliance Overview


Pick & Mix Compliance to suit you

Here at TMA we understand that every firm is unique. That’s why we have created a flexible, competitively priced Compliance Proposition, where you can ‘pick and mix’ different elements to create your bespoke package. This means you only pay for what your firms needs, when you need it.

Whatever your requirements or compliance support needs, we will tailor a bespoke package just for you.

For more information on our ‘complete’ CORE monthly package, click here.

Find out more about our other compliance options below

CORE Compliance Package – £125 + VAT per month

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.

See what other members say about our Compliance:

Hi Sarah,

I just wanted to drop you a quick line to say a big thank you for convincing me to switch to TMA for my compliance. It’s been a breath of fresh air and I only wish I’d switched a long time ago.

Along with yourself, Simon Lovell has been superb. Nothing is too much trouble, and he makes sense of all the jargon with simple, clear, and concise explanations of what needs to be done, understood, and applied. Brilliant.

If you ever have anyone in any doubt about where to place their compliance trust, point them in my direction and I’ll tell them what a great decision it was to switch!


Thank you again and best wishes,

Mark Roberts, Finance North

Meet your Field Compliance Manager

Simon Lovell


I’m Simon Lovell, your Field Compliance Manager. If you have any queries about compliance or regulatory changes, I am always here to help.

I also run a number of Workshops and will be running these again throughout 2019, so look out for more information.

If you are struggling to find a Compliance package to suit your needs, look no further… please give me a call and we will create you a Bespoke Package.

Compliance@tmaclub.com | 07837 700 574