Compliance News


Compliance help for DA advisers auditing and training IFAs on

compliance and T & C issues and much more...


Compliance News offers a free compliance newsletter or a subscription service called the ‘Premier Service’ which has two core benefits:


  1. Subscribers automatically receive regular updates of key regulatory changes (every six weeks unless something topical cannot wait)
  2. Subscribers have access to a wide range of Regulatory Documents.


They have an extensive range of documents which are regularly updated.  In addition they can normally assist with 95% of any specific requests.


Recently designed documents include; a full range of updated suitability letters, file checklists (ISAs/PPP switching/drawdown/annuities/ ISA transfers/replacement contracts), DB transfer ‘sanity checklist’, spreadsheet of most common registers which IFA’s use , GP adviser knowledge tests for 2017, Drawdown test, Pensions Transfer Specialist annual test, Esoteric product CPD workbook, various Disclosure Documents/fee agreements/Retail Client agreements. Fit & Proper declarations, a full complaints handling suite of name but a few.


The cost for a small IFA firm starts from £330 p.a. (this is the cost per firm—not per RI)


To subscribe to the Premier Service is a simple subscription form which can be  emailed or scanned and posted to them.  Email:


Remote File Checking



Just CRS is owned and run by Katherine Horgan and Phil Dibb. Just CRS offer small and medium sized IFA firms a bespoke compliance service at a competitive price. They do not require IFAs to pay a set monthly retainer and work for most IFAs on a fixed project fee. Our most popular service is remote file-checking. The costs are: £75 + VAT per remote client file review (excluding multiple transaction files or higher risk cases such as drawdown, equity release, structured products or PP switching) or £105 + VAT per drawdown / PP switching (up to 3 into 1) / replacement business) / Equity Release remote file check.


Just CRS Limited has also completed a Section 166 / Skilled Persons Report - as instructed by the FSA, following a rigorous tender process.


For further details please contact Katherine Horgan via or 07815 767204.


 Compliance Newsletters


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