The service
A range of regulatory resource.
Our regulation support, initially known as the Apricity brand since 2017, doesn’t just focus on file checks and documents, but instead on really getting to know your business. We work with you on your business goals and client journey, to build and embed a framework that underpins your entire business, meaning that compliance isn’t a separate department, but an inherent part of every aspect of your firm. We think of it less as a service, but more of a movement in finance and a chance to redefine what compliance means and how it should be considered a positive part of your business.
The brochure
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The details
Regulation done the Verve way.
Ongoing support.
Ongoing compliance support from our consultants, with a quarterly check-in to ensure your business is on track.
File Checking.
Including pragmatic advice to enhance your overall business process.
Audits.
To review the overarching structure and supporting documents of your compliance framework.
Reporting.
Supporting with RegData, Variation of Permissions and other FCA reporting.
Quarterly sessions.
Quarterly compliance sessions that you can attend independently on a PAYG basis.
Business reviews.
Past business reviews assessing any potential liability.
Compliance officer.
Compliance officer support; someone to come in and do the doing.
Complaints handling.
To ensure an effective, and impartial approach.
Personal and proactive. The quarterly check-ins work really well, any queries are answered quickly and the documents provided are a massive timesaver.
Tim Walsham
Claritas Wealth
Let’s Talk
Want to know more about our regulatory support and how we can help?
Get in touch to learn more and chat with our experts about how we can best support you and your firm
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Compliance Support
We offer a fresh approach to compliance, working with advisers to embed technology & structure within their firm, to ensure they are at all times, fully compliant.
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Consumer Duty
It may seem all-consuming, but we’ve got your back. From regulatory help to resource, from PROD to paraplanning, we’ve got you covered.
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