Compliance First

Scotland's leading supplier of compliance & business support services to financial advisers.
Professional Adviser Best Support Service 18, 19, 20 & 21 winner.

[Compliance First @CompFirstUK]

Throughout this week, we'll be bringing you a series of videos highlighting key Consumer Duty considerations. Below, Director of Compliance Services, Mark Greenwood, suggests some important areas of focus when building a robust implementation plan.

[Compliance First @CompFirstUK]

Today we are 'playing the final at Hampden' for our final round of our PDE events. Another great turn out and a fantastic venue!

Take a look at our events page to see what else we have coming up this year https://t.co/FAP8hwEa76

[Compliance First @CompFirstUK]

Today Emma Pollock is at our Aberdeen PDE hosted at the Holiday Inn Aberdeen West. What a fantastic turn out!

If you are interested in attending one of our PDE's you can look at our events page here:
https://t.co/URwUTNfekH

[Compliance First @CompFirstUK]

What is the main topic of conversation our clients are having with their customers? Have a look at the our recent survey results below.

Want to find out a bit more about our recent survey? Click the link below - https://t.co/TTJgVFKI6O

[Compliance First @CompFirstUK]

'How are advisers feeling about the year ahead?' Here is what our recent survey to our members showed us.

You can find out more about our recent survey by clicking the link below - https://t.co/mhZ5WYS3xa

[Compliance First @CompFirstUK]

We start every year with a major survey of our membership, the results of which inform everything we do. Here is a snapshot of what this year's survey told us, look out for more coming soon.

If you want to find out more you can click the link below -
https://t.co/BR7lkb0feS

[Compliance First @CompFirstUK]

Tomorrow we will be at the Mortgage Adviser Event in Glasgow, we can't wait to see you!

If you haven't registered yet there is still time.
You can register your free place today by clicking the link below.
https://t.co/GKb2Ew0A0J

[Compliance First @CompFirstUK]

We will be attending the MAE Glasgow event this Thursday.
Make sure you drop by our stand to pick up a goodie and if you have any questions our team will be on hand to answer them.
Haven't registered yet? There is still time, you can click the link below https://t.co/OgfKWpHDzD

[Compliance First @CompFirstUK]

What a great turn out today for our first Professional Development Event of the year at the Hilton Hotel, Templepatrick, Northern Ireland.

You can visit the link below to see what other great events we have coming up this year.
https://t.co/L330HYzQln

[Compliance First @CompFirstUK]

Our marketing team have updated their topical notice board. Do you remember these adverts?

#PancakeDay #ShroveTuesday #JifLemonDay #RetroPancakeDay

[Compliance First @CompFirstUK]

Do your Valentine's Day plans involved a sausage dog puppy & a Centra Cashflow Modelling workshop? Josh's do. Book on the workshop using the link beiow, but we can't help you with the puppy I'm afraid :(.
https://t.co/edZ5tJFULN
#ValentinesDay #SausageDog #Puppy

[Compliance First @CompFirstUK]

Here's what Karl, our Head of Business Consultancy, has been up to today.

[Compliance First @CompFirstUK]

Here's what Josh, our Technology Training Manager, has been up to today.

[Compliance First @CompFirstUK]

PLANUARY Action 7 - Tech
Is your adviser technology fit-for-purpose?
Are you wasting effort and costs on too many different services?
Or could moving more of your processes to tech make you more efficient?
Book your free Tech MOT here: https://t.co/u3oDN26enU

#PLANUARY2023

[Compliance First @CompFirstUK]

PLANUARY Action 7 - Tech
Is your adviser technology fit-for-purpose?
Are you wasting effort and costs on too many different services?
Or could moving more of your processes to tech make you more efficient?
Book your free Tech MOT here: https://t.co/c7lgL8KbGE

#PLANUARY2023

[Compliance First @CompFirstUK]

Welcome to PLANUARY, week 4 - Our final week

This week we are introducing our two final actions. TECH and EXTEND.
Look out for our emails or click here to have a look at what our final two actions entail.

https://t.co/G9votEWsU6

#PLANUARY2023

[Compliance First @CompFirstUK]

PLANUARY Action 6 – Compliance Healthchecks.
Our virtual audits are ideal for:
• Suitability of advice monitoring
• Risk Management & Monitoring
• Financial Crime Controls

Find out more here on our PLANUARY hub: https://t.co/qWqtC31r3w

#PLANUARY2023

[Compliance First @CompFirstUK]

PLANUARY Action 6 – Compliance Healthchecks.
Our virtual audits are ideal for:
• Suitability of advice monitoring
• Risk Management & Monitoring
• Financial Crime Controls

Find out more here on our PLANUARY hub: https://t.co/MyOOGw1bmG

#PLANUARY2023

[Compliance First @CompFirstUK]

PLANUARY Action 5 – Vulnerability Awareness

The fair treatment of vulnerable clients is a key focus for the FCA, and an element of both SM&CR and The Consumer Duty.

Find out more on our PLANUARY hub here:

https://t.co/C8OuhgNW0Y

#PLANUARY2023

[Compliance First @CompFirstUK]

PLANUARY Action 5 – Vulnerability Awareness

The fair treatment of vulnerable clients is a key focus for the FCA, and an element of both SM&CR and The Consumer Duty.

Find out more on our PLANUARY hub here:

https://t.co/PnZW0uTcFs

#PLANUARY2023

[Compliance First @CompFirstUK]

Welcome to PLANUARY, week 3.
Woooooah, we’re halfway there!

If you’re planning along with PLANUARY we’re 4 down with 4 to go.

With this week’s actions we’re ticking the Vs.

Look out for our posts, or jump straight to it now:
https://t.co/u3dmeEMwZL

#PLANUARY2023