File Checks


Our file checkers have a minimum of 10 year's industry experience to qualify, and qualifications are a prerequisite.

Their experience should be compliance-based, but with some retail sales experience as well. IFAC lead the team and he specialises in compliance file checking as he professes to enjoy this activity. 
With the experience in file checking pre sale and post sale file checks; Our file checkers has been in financial services for over 20 years with major retail financial services firms.
The lead of the team is DipPFS and level 4 qualified with MAQ, CF7, R01, ER1, R03, R04, R05, J05, J11, whereby using these skills has checked thousands of files over the years and feels that he sometimes knows the customer as well as the IFA after getting deeply involved in a case.

When checking files our team attempts to understand the client's situation and considers the big picture as well as the product being checked. We believe that the demands of the FCA make it imperative that the files are thorough, but that we also personalise the report and engage the client, and not simply protect our position with standard wording and warnings.

Contact with us for more information or call us 01242 80 70 10.