Compliance and T&C

Compliance

Compliance has become the crucial area for small to medium sized businesses in the financial services sector. Whilst compliance will naturally be your ultimate responsibility, we can help provide the following support:

Advisory support with your annual compliance plan
Kellands representative available to attend FSA inspections at your request
Compliance audit and compliance report to indicate any areas of improvement
Compliance manual plus updates, including updates and guidance on FSA and legislative rule changes
Help with responding to FSA reports
Advice in relation to FSA promotion and advertising rules
Advice and assistance in relation to complaints handling
Advice in relation to capital adequacy maintenance