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Compliance

SFIA is authorised and regulated by the Financial Conduct Authority (FCA) which guarantees consumer protection and ensures that our consultants are professionally qualified, that they strictly follow recommended procedures and operate truly as independent advisers.

SFIA have an internal compliance function headed by the Compliance Oversight who is supported by the Compliance Officer and by Simply Biz. Simply Biz are an outside body to assist with complying with the regulation. This approach demonstrates SFIA's commitment to offer its clients the highest possible standard of service.

Stringent compliance procedures are implemented to give the adviser a clear vision of customer orientated expectations. Most recently the regulator supported this regime further with a "Retail Development Review" (RDR). This came into force on 1st January 2013.

FCA's main objective:

     - Protecting consumers and protecting and enhancing the integrity of markets.

FCA's 3 Operational Objectives:
     - Ensuring consumer gets a fair deal.
     - Ensuring markets are resiliant and fair
     - Ensuring firms minimise the possibility that they may be used for financial crime.


Why Choose SFIA

There is nobody else in the marketplace that can offer the experience, specialisation and range of solutions we offer - read more

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