CAT (Compliance and Training Solutions UK Limited)

Are you aware that you could be breaching FSA rules without realising it? This can mean serious penalties imposed by the FSA.

As we all know, speaking to a helpdesk does have its limitations. From our experience, IFAs gain a better understanding of what is required from them when they have face to face interaction with a compliance specialist who visits their practice and sees first hand how they operate and the problems the practice is facing.

CATS recognise that all IFAs differ in size, type and number of clients, amount of turnover and how they operate. Some firms may need particular help with new recruits, others may want peace of mind and want to have regular compliance visits looking at the practice overall.

CATS visit your practice and find out about your company and what you think you need. By using CATS you will receive peace of mind that you are actively demonstrating that you are taking compliance and training competence seriously.

From there we can arrange a mutually convenient time for the visit to take place and discuss the areas to be reviewed. At the visit itself you will receive verbal feedback followed by a written report on the areas reviewed and the development required.