TMA Club has announced the launch of two new compliance packages to support directly authorised (DA) advisers with regulatory requirements.
The two packages, ‘Lite’ and ‘Extra Lite’, are additions to the club’s existing ‘Core’ package.
TMA suggested that advisers will benefit from access to its document library – which includes items such as the club’s vulnerable customers policy and data security guidelines – as well as access to regular compliance bulletins providing an overview of recent and planned regulatory changes.
Advisers will also be able to take advantage of a remote visit where a field compliance manager will carry out a regulatory review of their business, TMA confirmed. The club indicated this could cover conduct risk, customer outcomes and the Senior Managers & Certification Regime (SMCR) – with a report outlining guidance and recommendations to be shared with firms following an assessment.
“We recognise the importance of quality regulatory support for advisers and one of our top priorities is ensuring that firms are fully supported when it comes to remaining compliant – particularly as the COVID-19 pandemic continues to impact their business,” said TMA development director, Lisa Martin.
“With our competitive and flexible compliance proposition, more advisers will be able to design a package that is bespoke to their business’ specific needs, making sure that firms have the support they need, as and when they need it.
“We will continue to be committed to providing greater choice and flexibility to DA firms, and this will be a key focus for us over the coming months.”
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