I F A Consultancy

IFA Consultancy is a specialist firm dedicated to providing comprehensive compliance support services to directly authorised Independent Financial Advisers (IFA) across the United Kingdom. Established in 2004, our team boasts nearly 30 years of experience in IFA and FCA compliance, making us a trusted partner for IFAs seeking to navigate the complex and ever-evolving regulatory landscape.

Situated in modern offices merely half a mile from junction 4 of the M55 and only 13 miles from both the M6 junction 32 and Preston railway station, we are strategically positioned to serve our clients efficiently, whether through face-to-face or remote consultations.

Our mission is to empower our clients to meet their legal obligations with confidence by offering highly professional, personalised, and responsive regulatory support. We achieve this by delivering a broad range of specialist services tailored to minimise the risk of regulatory breaches through adoption of best practice.

Specialist IFA Compliance Advisory Services

At IFA Consultancy, we are committed to upholding the highest professional and ethical standards. We are proud members of the Association of Professional Compliance Consultants (APCC). Our services include:

1. IFA Compliance Audits and Compliance Monitoring Plans

2. FCA Authorisation and File Checking, including specialist DB Pension Transfer file checking

3. Regulatory Updates and Briefings, as well as Provision and Monitoring of Training & Competence (T&C) Regime

4. Advisor Supervision and Dispute and Complaint Resolution, including Financial Ombudsman referrals

5. Senior Managers & Certification Regime (SM&CR) Documentation and Recruitment Support

6. Retail Mediation Activities, Return Reporting (RegData system), and FCA Compliance Related Disciplinary Issues

7. Regulatory Visits and Desk Based Monitoring, Data Security Protocols, and Template Document Library

Our Approach

At the heart of our service is a bespoke compliance support plan designed to provide your firm with the expertise of an internal Compliance department without the overhead. Our principal consultant, Kevan Thorn, leads every IFA Consultancy project, ensuring our clients receive a highly informed and responsive service.

Our commitment to personal service is matched by our commitment to professionalism. We continually monitor and analyse the regulatory landscape to ensure our clients are equipped with the most up-to-date information and guidance to meet their obligations.

Arrange Your Initial Consultation

Why not schedule your initial consultation now? There's no charge, and no obligation. Contact us today to learn how IFA Consultancy can help your business stay compliant and thrive in an ever-changing regulatory environment.