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Our Values

  • Clients Come First

  • We Invest In Our People

  • We support local IFAs’ independence

Independent Wealth Planners UK Ltd

Compliance

The compliance support provided by IWP is one of the things that our member firms appreciate most. That’s not because the support they previously received was in any way lacking. It’s more that at a time when regulatory requirements can change quickly, it’s especially reassuring to know that a dedicated expert compliance team has your needs and best interests at heart.

Our compliance support will help you to align with our recommended policies and processes; we’ll undertake file checks and provide detailed informative reports for your board. We’ll assist with any ad hoc matters or queries, and we provide proactive training and support as and when compliance requirements change.

In addition to that, our compliance support will spend time with you and your team to get to know your business, and they’ll aim to be proactive in making suggestions and providing guidance. We don’t see this as a traditional outsourced supplier service; our firms are part of the family and our support teams are here to ensure you get whatever you need to make your business the best it can be.

How we help

QUALITY ASSURANCE

QUALITY ASSURANCE

We evaluate your systems and develop your quality assurance standards to even higher levels.

REGULATORY REPORTING

REGULATORY REPORTING

We provide specialist support with regulatory reporting and file checking.

BESPOKE FCA COMPLIANCE

BESPOKE FCA COMPLIANCE

We tailor our FCA compliance advice and support to you.

POLICY AND PROCEDURE MANAGEMENT

POLICY AND PROCEDURE MANAGEMENT

We take care of checking - and double-checking - your policies and procedures.

T&C GUIDANCE

T&C GUIDANCE

Our expert team helps you meet T&C standards and refine your procedures.

SPECIALIST RESOURCES

SPECIALIST RESOURCES

We partner with leading compliance consultants and technology providers for expert support.

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