File reviews

Our experts will provide ongoing monitoring of your files for suitability and competence, with a focus on the collation of “know your customer” (KYC) information.

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In-depth analysis

Poor quality client files put you at greater risk of penalty from the FCA, or being unable to successfully defend a complaint. Our support will help you identify and resolve any existing file issues and make sure future files are right first time.

Choose us and work with a team that has the experience to know what the FCA requires and how to keep them happy. Instead of tick-box compliance, you’ll benefit from comprehensive, tailored support.

Our service

  • Experts who’ll work collaboratively with you to understand your business and clients inside out

  • Assessment of the file’s completeness, and whether information is chronologically correct

  • A focus on “know your customer” (KYC) information and ensuring the suitability of your advice

  • Checking you’ve accurately recorded the client’s finances, objectives and vulnerabilities

  • Honest, independent support, with no upselling of third-party ties or software solutions

  • Analysis of the information provided about recommended funds and associated costs

  • A diligent, consistent approach to reviewing, which lessens the risk of errors being missed

  • Our expert view on the overall recommendations made and whether these meet the FCA’s criteria

What clients say

Kate Barnard

B-Compliant seem to have the balance just right for small financial advisers like us from a support and price point. They offer on-site visits or remote help, both of which are extremely helpful. Vicky and her team offer a no-nonsense approach to compliance where what you see is what you get. Perfect!
Debbie Jukes

B-Compliant has delivered everything that we expected, and then some – even at short notice. I feel that they have our best interests at heart, and I have complete confidence in the guidance they provide. They have a flexible approach and a great work ethic.
William Stevenson

What we want from a compliance consultant is threefold: to keep our compliance programme both up to date and (more importantly) effective, to offer solutions and not point out problems, and, yes, to be fairly priced! We get all three from B-Compliant.
David Bashforth

It’s early days in our relationship with Vicky and B-Compliant, but my business partners and I have so far been very impressed with the service and technical knowledge provided. For the first time in a long time, we can see compliance in a more positive light, as a tool to improve our business as a whole.

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of clients believe working with us has helped or will help them to achieve their compliance objectives

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of clients would recommend us to other firms or connections

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of clients are very satisfied that we understand their regulatory requirements

Your questions, answered

Completing file reviews often highlights other regulatory issues that need to be addressed. Learn more about our hands-on approach to compliance support and whether it’s right for your business.

View all FAQs
How experienced are your consultants?

Our directors each have more than 20 years’ experience in compliance and financial services. We don’t employ any consultants with less than five years’ experience, so you can always rely on our advice.

Which types of businesses is this service for?

Any FCA-regulated business, including financial advisers and discretionary fund managers. While we tend to work with small- to medium-sized businesses, our support can be tailored to any budget.

Can you help me implement changes following a file review?

Absolutely. From one-off projects to fully outsourced compliance, our support covers whatever you need. Contact us today to discuss your requirements and we’ll get back in touch with you as soon as we can.

Sally Collie
Sally Collie
2022-07-07
Always receive excellent service from Vicky and her team at B-Compliant, they are a very knowledgeable team and make a point of knowing our business inside out in order to give us a high standard of support.
Richard White
Richard White
2022-07-06
I approached B-Compliant regarding helping us with our FCA application for an VoP Permissions application, right away I new that we had contacted the right people. Their attitude and positive approach was fantastic. Maria Fox-Leonard was fully informed in helping us prepare our responses back to the FCA and Jeremy Smith helped with his knowledgeable insight into the FCA and how to ask the right questions. We have now successfully received out VOP permissions and I would definitely recommend them to others.
Jonathan Smith
Jonathan Smith
2022-06-27
Having worked with B-Compliant Ltd for the past 2 years. Vicky, Simon and Annabel have changed not only our business outlook, but also our attitude toward compliance! Their positive, proactive approach has helped us immeasurably in understanding the complexities of the FCA and regulation. They are always available with answers in plain English and more importantly, solutions! Thank you
Asmus Ohle
Asmus Ohle
2022-06-27
We have worked with Jeremy and his team for the last four years. They initially guided us through the FCA application process and since approval have provided us with compliance advice. They set out the to dos very clearly, communicate efficiently and ensure that all deadlines are met. They also make sure that we understand what is required from us as a newly regulated firm and explain everything in detail and in a way that we understand it. I would definitely recommend them.
jacqui davidson-slack
jacqui davidson-slack
2020-02-11
I met Vicky through a professional organisation and instantly established how knowledgeable and experienced she is in relation to compliance. Given the importance of this function within a regulated firm, Vicky provided me with some initial guidance without commitment or cost. I established that the service proposition could be tailored to exactly what I needed. Without exception staff and management have been extremely supportive and held my hand through a highly legislative process. I feel save in the hands of B-Compliant. Top Class Service. First Class Knowledge. Took all the worry from me and i now feel safe in their care. For a highly personalised service which is truly value for what is spent, you really do need to speak to Vicky and her team. Thank you !
David Brown
David Brown
2019-11-25
I would recommend B-Compliant to any financial adviser looking for compliance support and help with their business
Alan Whittle
Alan Whittle
2019-08-27
Fantastic FCA compliance consultancy. Very friendly, expert staff. Would highly recommend.

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