Top

Group Compliance – Tracking and Reporting

Compliance visibility for Groups is essential; it provides confidence that all advisers are adhering to both regulatory and Group standards, and ensures the business can address issues quickly.

We provide comprehensive tracking and reporting to Adviser Groups who undertake an IDS Compliance Programme. Structured to suit your compliance calendar, these include:

  • As-needed reporting on issues for immediate attention
  • Monthly or quarterly meetings with your Account Manager to report on: (1) the outcomes and progress of individual Adviser Reviews, Audits and Checks; and (2) Group-wide process, documentation or policy improvement recommendations
  • Benchmarking – either within your Group or in comparison to the wider industry – to support ongoing development of optimal compliance processes and behaviours.