On-site support visits

Our annual compliance support visit gives a member firm the opportunity to gain an independent view of its compliance systems and processes.

The visit is intended to provide help and assistance to members and the opportunity to sit down, face to face, with an experienced compliance adviser to discuss any issues or concerns, to talk about solutions and agree courses of action.

As well as providing practical assistance and support, a regular visit is an excellent way of minimising the compliance risks a firm faces and is a good demonstration to the Regulator of the seriousness with which FCA regulation is regarded.

CII CPD accredited

Demonstrates the quality of the training provider’s course and confirms that it meets CII member CPD scheme requirements. Read more...