I F A Consultancy

IFA Consultancy, a distinguished provider of compliance support services, was established in 2004 with the primary objective of serving directly authorised Independent Financial Advisers (IFA). Our firm is situated in modern offices, conveniently located less than half a mile from junction 4 of the M55 and only 13 miles from both the M6 junction 32 and Preston railway station. We take immense pride in our 30 years of IFA and FCA compliance experience, which enables us to deliver highly professional, personalised, and responsive regulatory assistance.

Our commitment to professionalism and personal service is unwavering. As a member of the Association of Professional Compliance Consultants (APCC), we adhere to the highest professional and ethical standards. Our team consists of dedicated professionals who are committed to assisting IFAs in minimising the risk of regulatory breaches by adopting best practices.

Our principal consultant, Kevan Thorn, spearheads every IFA Consultancy project, working directly with IFA owners and managers. We aim to provide your firm with the kind of informed and responsive service you might expect from an internal Compliance department, offering expertise without the overhead. Our services are specially tailored to meet the unique needs of each of our clients, ensuring that they receive the most relevant and effective support.

Specialist IFA Compliance Advisory Services

We offer a broad range of specialist services designed to enable IFAs to minimise the risk of regulatory breaches through adoption of best practice. These services include:

• IFA Compliance Audits
• Compliance Monitoring Plans
• FCA Authorisation
• File Checking
• Specialist DB Pension Transfer file checking
• Regulatory Updates & Briefings
• Provision and Monitoring of Training & Competence (T&C) Regime
• Advisor Supervision
• Dispute and Complaint Resolution (including Financial Ombudsman referrals)
• Senior Managers & Certification Regime (SM&CR)- Documentation
• Recruitment Support
• Retail Mediation Activities
• Return Reporting (RegData system)
• FCA Compliance Related Disciplinary Issues
• Regulatory Visits and Desk Based Monitoring
• Data Security Protocols
• Template Document Library

Our Approach

Our approach is centred around providing a personalised service that is tailored to meet the specific needs of each of our clients. We take the time to identify and understand your requirements before developing a bespoke compliance support plan. Our aim is to provide your firm with the informed and responsive service you would expect from an internal Compliance department.

If you are seeking a professional and reliable compliance support service, look no further than IFA Consultancy. Contact us today to arrange your initial consultation, which is offered on a no-charge and no-obligation basis.