TMA COMPLIANCE.

Our experience and expertise with mortgage and protection regulation is vast across LSL Group, in particular that of our sister Network, Primis. TMA are able to utilise these skills to provide compliance support that gives confidence that Directly Authorised businesses meet the requirements of the regulator, while providing the service and guidance advisers expect.

TMA offers bespoke packages that are tailored to individual business requirements. Our service to Directly Authorised businesses includes support, such as assisting Appointed Representatives of Networks to become Directly Authorised, file checking, compliance visits, complaint handling, online training, financial promotion and recruitment support.

As part of your membership with TMA, you will receive a regular Compliance Bulletin, keeping you abreast of regulatory changes and updating you on industry changes and trends. The TMA Vault on our website also gives selected firms access to a Compliance Library, containing both guidance and templates.

TMA can be the roots your business needs to grow strong to protect it from storms. We know that not all businesses are the same, and that is why we tailor-make our compliance packages to suit your business requirements, using the different elements further down the page…

TMA Fraud Hub Sign in here

DISCUSS TMA COMPLIANCE CONTACT US

Simply purchase one of our ready-made packages:

CORE PACKAGE

  • Firm Engagement Visit
  • Access to the Document Library
  • Access to regular Compliance Bulletins
  • One annual Online Testing Licence
  • One File Review per month including feedback for reference
  • Access to an experienced Field Compliance Manager

LITE PACKAGE

  • Remote visit via Zoom
  • Access to the Document Library
  • Access to regular Compliance Bulletins
  • One annual Online Testing Licence
  • One File Review per month including feedback for reference
  • Access to an experienced Field Compliance Manager

EXTRA LITE PACKAGE

  • Access to the Document Library
  • Access to regular Compliance Bulletins
  • One annual Online Testing Licence
  • One File Review per month including feedback for reference

Compliance Packages are available from as little as £99 + VAT per month.

You can also purchase additional add-ons from our elements below to compliment your ready-made package.
Speak to your Key Account Manager who will help you design the right package for your business.

OR Build your own Package using the elements below:

Complaints Handling

Retail Mediation Activities Return (RMAR)

FCA Application Process to become DA

Firm Engagement Visit

Document Library

Online Learning & CPD

File Reviews & Transfers using Sharebox

Experienced Field Compliance Managers

Regular Compliance Bulletins

Consumer Duty Implementation Support

Information Security Updates

Fraud Updates

ONLINE TEST CATEGORIES.

GENERAL

  • General Data Protection
  • Maintaining information & Cybersecurity
  • Introduction to the FCA
  • How to handle regulated complaints
  • Conduct risk and treating customers fairly
  • Understanding vulnerable consumers
  • Managing conflicts of interest
  • The Conduct Rules
  • Whistleblowing with confidence
  • Anti-money laundering and countering terrorist financing
  • Customer Due Diligence
  • Fighting fraud
  • Financial crime – the basics

SENIOR MANAGERS & PRINCIPALS

  • Senior Managers Regime
  • Certification Regime
  • The Regulatory Framework
  • MLRO The role of the Money Laundering Reporting Officer

MORTGAGES

  • Buying, selling and financing property – the parties and methods involved
  • Mortgage & home finance regulation and the various types of mortgages
  • Mortgage advice and the criteria to fulfil
  • Equity Release, home purchase plans, sale & rent back, and commercial mortgages
  • Arrears & Possessions
  • Customer interactions
  • Mortgage ROK

PROTECTION

  • Insurances to consider alongside a mortgage
  • Protection ROK
 
 

Get in touch with us today.

Complete our quick form for a call-back from a member of the team regarding our Compliance offering – they will be able to answer any questions you may have!