Compliance Support

In the highly regulated and rapidly evolving industry in which we operate the Stirling House comprehensive compliance and regulatory package enables our Advisers to be Directly Authorised by the FCA with confidence.

The Stirling House Compliance and Verification Unit (CVU) provides enhanced compliance support services to Stirling House Members allowing  you to concentrate on running a successful business and removing regulatory risk.

Our range of compliance support services include:

• Helpdesk – dedicated support for compliance and regulatory questions
• Pre-compliance file checks
• Case file reviews – with typical turnaround within 48 hours
• Gabriel reporting to the FCA undertaken by Stirling House
• Compliance audits
• Complaints handling assistance
• Compliance plan, procedures and regulatory updates
• Direct FCA authorisation status
• Compliant promotions – proof reading copywriting and approvals

All of these benefits are included with your Membership

Atlas 245 x 325