0330 303 0236

Compliance Services


On Line Tests

TMA will provide access to interactive online tests that help you and your staff comply with the Training and Competence sourcebook rules. Multiple topics are covered such as the Data Protection Act, Complaint Handling, Treating Customers Fairly, Fraud and Approved Persons. Implementing these tests within your business helps to evidence that you and your staff are aware of key regulatory requirements.

As a reminder, ongoing CPD should consist of a combination of structured and unstructured activity, designed to maintain your ongoing knowledge. Structured learning activities include appropriate e-learning so these on line tests are a fantastic way of further enhancing your knowledge!

  Cost £50 + VAT per year per user

Document Library

Our Document Library provides a wealth of guidance material for your business. It includes items such as suitability letter templates for mortgages, general insurance and pure protection products, as well as useful template Disclosure Documents. We are also pleased to now add a revised Complaints Handling Procedure with supporting documentation, following the recent rule changes in the way we handle Complaints.

  Cost £50 + VAT

Complaints Handling Procedures and Supporting Documentation

Our Complaint Handling Procedures and Supporting Documentation provides useful reference and training material for your business, which also includes several template letters as follows:

  • Complaint Handling Policy
  • Complaint Handling Procedures
  • Complaint Register
  • Customer Internal Complaints Procedure
  • Eight week process – Acknowledgement Letter
  • Eight week process – Final Response Letter
  • Eight week process – Interim Response (4 week)
  • Eight week process – Interim Response (8 week)
  • Eight week process – Customer Acceptance
  • Summary Resolution Communication – Upheld
  • Summary Resolution Communication – Not Upheld

 Cost £25 + VAT

Firm Engagement Visit

TMA offer Firms a visit focusing on several key subjects including:

  • Hot Topics from the FCA, i.e. the MCD, the recent Complaint changes, Performance Management and Financial incentives
  • Conduct Risk
  • Customer Outcomes
  • Systems and Controls
  • T&C
  • Sales Process

You will also receive a formal report with a record of our discussion, useful guidance material for your future reference and any recommendations that may be made by the Field Compliance Manager – the visit will take place at your office and generally takes between 3 to 5 hours depending on the size of your firm – well worth your time!

  Cost £399 + VAT, which currently includes an online test licence for 1 year too!

Core Compliance Package

The Core Compliance Package includes all of the below:

  • Firm engagement visit* (details as mentioned above).
  • Access to the Document Library (including the Complaints Section – details as mentioned above).
  • Access to regular Compliance bulletins giving you an overview of recent and planned regulatory changes
  • Access to an on line test annual licence (details as mentioned above).
  • One file review per month – this will focus on business quality, affordability, documentation and disclosure – feedback will be provided or your reference
  • Access to a Field Compliance Manager for day to day general telephone queries

*A Field Compliance Officer will visit your office or home and complete a regulatory review of your business. We 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, we 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.

If you have any questions regarding any of the above please contact simon@tmaclub.com

 Cost £99 + VAT per month

The Key

The Key, Mortgage Brain’s client relationship management and business management solution, supports the sale of mortgages, insurance, life, loans and other financial products.
Whether you are a small or large business, the system can be configured and tailored to your requirements and ways of working, to support fully and compliantly, both your face-to-face and telephone based advice.

10 reasons to use The Key
Training aids and videos

 Cost £45 + VAT per month