Financial Planning Firms

Resources Compliance has unique knowledge and experience of the financial planning profession and the regulatory issues relating to it. For over ten years, we have worked very closely with the Institute of Financial Planning (IFP) and have been at the forefront in development of the financial planning standards. We have also been closely involved in developing qualification standards and training courses for The Certified Financial Planner (CFP) Licence.

Many of our regulatory consultants have practised as financial planners or paraplanners in addition to their regulatory specialisation. Our consultants include a former CEO of the IFP and the Senior Assessor for the CFP Licence. We have carried out assignments relating to financial planning standards and practise for many firms in the UK, and overseas.

Financial planning firms can include firms described by a variety of labels such as:

• Advisers
• Bancassurers
• Employee benefit consultants
• Wealth Managers

What matters is not the label used to describe the firm, but whether the firm follows adequate standards to ensure it provides an acceptable standard of service and is compliant with regulatory requirements.

Resources Compliance is geared to help any of the firms mentioned above. We can provide advice and hands-on assistance with many of the technical and compliance issues relating to the financial planning process, customers' experience, practice standards and the regulatory issues arising.

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