Help with GDPR

If you are one of the many financial services professionals that finds it almost impossible to keep up-to-date with the changes in regulation, help is at hand.

We realise that sometimes it is very difficult to know what part of regulation a case falls into and what FCA permissions you will need.This is why we have set up a Compliance Help-Desk, to try to answer questions about those enquiries where you have difficulty in identifying how you should proceed.

To indicate how seriously we take our obligations to FCA rules, during two previous compliance visits carried out by the NACFB, in addition to obtaining a top marks on our scorecard we received the following comments from the Compliance Consultants.

Whilst writing, it is a very rare occurrence that I feel compelled to reassess my view of best practice, but this is one of those occasions. In reality, I do not see what you do as moving the goal post, more a case of better than best practice, particularly considering the resource that you have available. So very well done.

Specialist Financial Services Ltd works to a singular framework, adopting a unified and compliant approach to its financial activities across the firm’s product range. We identified no gaps in compliance to regulation and identified areas of best practice, notably in AML and Data Protection controls.

You can download our GDPR checklist by completing the form below.