Business Details
We have been operating since 2002 providing compliance guidance and support to Mortgage and General Insurance Advisers, Financial Advisors, Networks and Lenders. We offer a handson approach providing compliance guidance and support tailored to each specific firm we work with. We are a team of likeminded individuals who enjoy compliance and have a wealth of experience gained from working with the Financial Ombudsman Service, Financial Conduct Authority, Product Providers, and Networks. We like to work closely with firms, building a relationship with both senior management and advisers ensuring that we are available when queries arise. Our ongoing service focuses on regular meetings allowing us to understand how your firm works and meet with advisers, paraplanners, administrators as well as senior management. We offer a comprehensive ongoing compliance support product designed to help you fulfil your regulatory responsibilities and requirements.
We have experience providing compliance support to a wide range of firms including IFAs, Mortgage, Protection and General Insurance Intermediaries, Consumer Credit firms and Lenders. We provide three service levels: Eqi Core, Eqi Lite and Eqi Bespoke. We include regular audit meetings, file reviews, personalised compliance procedures, assistance with FCA reporting, Gabriel and Client Money compliance helpdesk, complaints guidance, advertising checks, newsletters, training and competence guidance, Treating Customers Fairly and Business Risk guidance, and Financial Crime and Data Security guidance. We deliver the Eqi Lite service for smaller firms, which includes an annual compliance health check, two file reviews per annum, regular newsletters and bulletins, and helpdesk support. Our commitment to client satisfaction drives us to deliver transparent, reliable and proactive compliance solutions tailored to each firm's unique needs.
We have experience providing compliance support to a wide range of firms including IFAs, Mortgage, Protection and General Insurance Intermediaries, Consumer Credit firms and Lenders. We provide three service levels: Eqi Core, Eqi Lite and Eqi Bespoke. We include regular audit meetings, file reviews, personalised compliance procedures, assistance with FCA reporting, Gabriel and Client Money compliance helpdesk, complaints guidance, advertising checks, newsletters, training and competence guidance, Treating Customers Fairly and Business Risk guidance, and Financial Crime and Data Security guidance. We deliver the Eqi Lite service for smaller firms, which includes an annual compliance health check, two file reviews per annum, regular newsletters and bulletins, and helpdesk support. Our commitment to client satisfaction drives us to deliver transparent, reliable and proactive compliance solutions tailored to each firm's unique needs.
Highlights and features
- We have two decades experience supporting mortgage, insurance firms.
- We provide Core, Lite and Bespoke service levels.
- We conduct regular audit meetings and file reviews.
- We guarantee transparent reporting and dedicated helpdesk support.
- We ensure compliance with FCA, Ombudsman and data security.
Services
Eqi Core
Eqi Core is a comprehensive ongoing compliance support package for medium to large financial firms. It includes regular audit meetings, detailed file reviews and personalised compliance procedures. Clients benefit from proactive FCA reporting assistance, training guidance and continuous regulatory updates.
Eqi Lite
Eqi Lite is a tailored, streamlined compliance solution designed for smaller financial firms. It provides a regular annual health check, two file reviews and monthly regulatory updates. Firms gain timely compliance awareness, reduced administrative burden and continuous support.
Eqi Bespoke
Eqi Bespoke offers fully customised compliance support tailored to each client's unique regulatory requirements. It includes bespoke procedures, targeted training and dedicated assistance across all compliance areas. Clients receive bespoke guidance that ensures regulatory compliance, risk mitigation and operational efficiency.
Compliance Health Check
Compliance Health Check is a comprehensive oneoff audit that evaluates a firm's current regulatory compliance status. It identifies gaps in policies, training and reporting, delivering actionable recommendations. Firms gain a clear action plan to achieve full regulatory compliance swiftly and costeffectively.
FCA Applications
FCA Applications provide comprehensive support for firms preparing and submitting applications to the Financial Conduct Authority. Our experts guide clients through detailed documentation, eligibility criteria and required disclosures. Successful applications enable firms to operate under FCA supervision with full regulatory confidence.
