Embed Size (px)
Citation preview
“ we are the club that works in partnership with lenders, providers and you, the adviser ”
Page 1For intermediary use only
For more information, please call us on 01564 732 748 *All prices are excluding VAT.or email us now at [email protected]
COMPLIANCE SUPPORT
DADA
DEDICATED TO SUPPORT THE DIRECTLY AUTHORISED BROKER
“ we are the club that works in partnership with lenders, providers and you, the adviser ”
Page 2For intermediary use only
For more information, please call us on 01564 732 748 *All prices are excluding VAT.or email us now at [email protected]
Once you’ve signed over your insurance agencies over to us you will automatically receive access to our GOLD package.
“ we are the club that works in partnership with lenders, providers and you, the adviser ”
Page 3For intermediary use only
For more information, please call us on 01564 732 748 *All prices are excluding VAT.or email us now at [email protected]
This brochure outlines the compliance services and products that we offer so that you can meet all your regulatory requirements. We will provide support and guidance you with our bespoke packages.
If you require any further information, please do not hesitate
to contact us on 01564 732 748
The Right DA Club understand the regulatory requirements to firms. We have built our compliance proposition to be bespoke for your compliance needs rather than offering one package that fits all as we understand all businesses are different and have different needs at different times.
“ we are the club that works in partnership with lenders, providers and you, the adviser ”
Page 4For intermediary use only
For more information, please call us on 01564 732 748 *All prices are excluding VAT.or email us now at [email protected]
Compliance Document Library All our members will have free access to our compliance document library via our website which includes all up to date documents you will need to run a regulated business. Once you have completed an application to join our DA Club.
FREEIncluded in your membership with The Right DA Club is access to:
Compliance and Lender/FCA UpdatesAlso as a member of the Right DA Club you will also automatically get added to our compliance and lender/provider email updates. These are sent out weekly and are snippets of updates within the industry and count towards your CPD requirements.
“ we are the club that works in partnership with lenders, providers and you, the adviser ”
Page 5For intermediary use only
For more information, please call us on 01564 732 748 *All prices are excluding VAT.or email us now at [email protected]
Support Annual Regulatory TestingAs part of the FCA requirements, all firms must carry out annual regulatory testing. We will supply DA firms with access to our online tests for their employees and advisers to access and complete on an annual basis.
Client File ChecksWe offer File checks to our club members, we will assess the advice given to ensure that you have all required documents and have followed a compliant sales process. You have the choice, either you can supply us with a business register for the month and for a randomly selected clients or you can send us files to check. All documents would then need to be securely emailed or posted for us to check the files. You will receive a report back with our findings and recommendations made.
Compliance Support
FREE
Starting from£50*
Prices are per one file. One file check would include a mortgage, protection & GI case for the same client.
POA
“ we are the club that works in partnership with lenders, providers and you, the adviser ”
Page 6For intermediary use only
For more information, please call us on 01564 732 748 *All prices are excluding VAT.or email us now at [email protected]
VisitsGuidance VisitsAs you are aware, as a directly authorised adviser, you are responsible for all your compliance needs: to ensure you have everything set up, implement and embedded all your new process and requirements. We offer an initial guidance visit which will help you and ensure you have everything set up to ensure you follow the regulatory requirements. The guidance visits last half a day and a full report will be available to the principal of the firm afterwards advising them of any recommendations made. The visit will help you:
Bespoke VisitsThe Right DA Club understand that from time to time you as a DA would like to take advantage of the expertise of a network from a regulatory perspective. We offer bespoke visits, where you advise us what you want us to do, check or even present and train your advisers on an area you would like to understand more. The bespoke visits can with be for half a day or a full day depending on what you require or the time you have to spare. A full report will be available to the principal of the firm afterwards advising of any recommendations made.
Check and implement your sales processesCheck your registers and financial promotions Ensure that you have everything set up correctly so you can start running your business and advising your clientsTraining and development plans
DA
DA
DA
“ we are the club that works in partnership with lenders, providers and you, the adviser ”
Page 7For intermediary use only
For more information, please call us on 01564 732 748 *All prices are excluding VAT.or email us now at [email protected]
Audit VisitsWe feel that all DA firms could benefit from a third party point of view from time to time. We have designed our audit visit to carry out a full review of your business and processes to ensure regulation is being followed and to highlight areas where we feel there may be room for improvement can be made. The audit will entail a full review of your firm, one of our compliance team will review your compliance arrangement & consider the key risk areas of your firm, if there are any. An audit visit is a full day visit and a full report will be available to the principal of the firm afterwards advising them of any recommendations made.
£400*£625*
Half a day
Full day*SUBJECT TO POTENTIAL TRAVEL COSTS and VAT
“ we are the club that works in partnership with lenders, providers and you, the adviser ”
Page 8For intermediary use only
For more information, please call us on 01564 732 748 *All prices are excluding VAT.or email us now at [email protected]
The Right Account Advert Page
EXCLUSIVE ACCOUNTANCY PACKAGES FOR FINANCIAL ADVISERS Take a look at our bespoke packages below; we guarantee we won’t be beaten on price. Our prices are tailored to your business requirements; you can pay monthly and there are no hidden fees.
SOLE TRADER PACKAGE ONLY £50+VAT PER MONTH
• Dedicated accountant• Bookkeeping software• Bookkeeping• Tax advice• Self assessment tax return• Management accounts
SELF ASSESSMENT ONLY PACKAGEONLY £75+VAT
• Dedicated accountant• Self assessment tax return
LIMITED COMPANY PACKAGEFROM £57.50+VAT PER MONTH
• Dedicated accountant• Annual accounts• Corporation tax• HMRC correspondence• Tax advice• Tax investigation insurance• GABRIEL reports
PARTNERSHIP PACKAGE FROM £300+VAT
• Dedicated accountant• Annual accounts• Corporation tax• 2 Director’s self assessment• HMRC correspondence• Tax advice
therightaccountantsnationwide accountancy services for businesses & individuals
*
AUTO ENROLMENT SET UP ONLY £250+VAT
“ we are the club that works in partnership with lenders, providers and you, the adviser ”
Page 9For intermediary use only
For more information, please call us on 01564 732 748 *All prices are excluding VAT.or email us now at [email protected]
Making sure that your GABRIEL return is completed and submitted in time will prevent you from receiving any nasty fines. The Right DA Club has partnered up with The Right Accountants to be able to provide you with assistant in completing your GABRIEL returns.
The price is per return and prices are subject to firm having no more than 10 advisers, not holding client money & non-mifid.
Larger firms = POA
£320*
Accountancy EXCLUSIVE ACCOUNTANCY PACKAGES FOR FINANCIAL ADVISERS Take a look at our bespoke packages below; we guarantee we won’t be beaten on price. Our prices are tailored to your business requirements; you can pay monthly and there are no hidden fees.
SOLE TRADER PACKAGE ONLY £50+VAT PER MONTH
• Dedicated accountant• Bookkeeping software• Bookkeeping• Tax advice• Self assessment tax return• Management accounts
SELF ASSESSMENT ONLY PACKAGEONLY £75+VAT
• Dedicated accountant• Self assessment tax return
LIMITED COMPANY PACKAGEFROM £57.50+VAT PER MONTH
• Dedicated accountant• Annual accounts• Corporation tax• HMRC correspondence• Tax advice• Tax investigation insurance• GABRIEL reports
PARTNERSHIP PACKAGE FROM £300+VAT
• Dedicated accountant• Annual accounts• Corporation tax• 2 Director’s self assessment• HMRC correspondence• Tax advice
therightaccountantsnationwide accountancy services for businesses & individuals
*
AUTO ENROLMENT SET UP ONLY £250+VAT
GABRIEL Returns
“ we are the club that works in partnership with lenders, providers and you, the adviser ”
Page 10For intermediary use only
For more information, please call us on 01564 732 748 *All prices are excluding VAT.or email us now at [email protected]
Additional Services Complaint GuidanceWe have a team of knowledgeable staff who will be on hand to help you with any customer disputes you may encounter. We will offer guidance and support from start to end.*Price on application and severity
Financial Promotions We can help you with your financial promotions needs, whether it is stationery or a full website. *Price on application
Key & Mortgage Brain LicencesFor our dedicated Club members, we have partnered up with MortgageBrain and so can offer. A 30-day-free trial to the key
The Key and Mortgage Brain for just £55* per month per licence saving you £11 per month per licence.
&
“ we are the club that works in partnership with lenders, providers and you, the adviser ”
Page 11For intermediary use only
For more information, please call us on 01564 732 748 *All prices are excluding VAT.or email us now at [email protected]
