Compliance speed check, are you up to it?

Regulatory development has been increasing momentum in recent years and it is often difficult for Advisers and other firms to keep fully up to speed with everything thathas changed. MiFID originally brought in a raft of changes in 2007 and even today there are firms that have not embraced those rules. More recent changes have increased the regulatory load of firms and if you slip behind it can take huge effort and cost to catch up or bring things up-to-date. With the change of the regulator to one that has announced increased interventions, it is vital that advisers are aware of what is required and take the steps to implement it.

It is for this reason that Panacea has teamed up with CEI Compliance, the financial services regulatory risk, compliance and strategic consultancy.

Compliance service providers are varied in both cost and methodology, with the big-four heavily involved in the larger organisations.  However, CEI Compliance provides bespoke solutions on a just-in-time basis, using specialists with both experience and qualifications.

CEI Compliance is also a highly skilled in understanding Social Media Compliance. Therefore, following Panacea Adviser’s recent launch of Social Stream, which allows advisers to engage with and educate their customers through social media channels, we are delighted to offer you a free ebook which has been produced in conjunction with CEI Compliance entitled “How To Use Social Media In Financial Services”.

Many advisers are apprehensive about entering the social space due to regulatory concerns and this guide has been specifically designed to address these issues.

This online handbook provides information on how to take advantage of social media whilst remaining compliant with new and emerging regulation and also explains how firms can develop robust corporate policy mandates surrounding social media.

Click here for more information and to download the ebook.

Additionally, CEI Compliance offers advisers a range of services for Smaller Adviser firms, providing a remote regulatory enquiry service; Compliance Health-check, Regulatory Visit Preparation, Complaints Handling, Regulatory Intervention Management, File Audits and even a whole company Customer Journey Assessment to identify the level of areas where TCF is being applied.

Launch Offer

As a special offer to mark the launch of the CEI Compliance and Panacea Adviser collaboration, we are pleased to announce we have a SPECIAL OFFER for a limited time only.

Smaller Adviser firms can get a 10% discount on the normal fee charged. 

PLUS as a member of the CEI email service, if you commit to a year’s service, after 3 months CEI Compliance will send you their fully editable Compliance Manual of over 80 pages for free.

And for Consultancy work CEI Compliance are offering a £1,000 discount off fees for work of 10 working days or longer (or 20% off any consultancy work for less than 10 days).

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