The members of the Compliance Group are the Directors or Heads of Compliance of various financial advice firms, meeting five times a year to discuss regulatory issues and other topics and matters relating to the regulatory environment that may affect member firms. The Group discusses concerns and practical issues members may have experienced and ensures they are kept informed of any developments. The Group also provides a steer in relation to any relevant consultation response and direction in relation to lobbying activities with the FCA or the government.
Alexander Beard Group
Brewin Dolphin Ltd
BRI Wealth Man. plc
Danby Bloch / Paula Whitehead
Fasa Riamah / James Dell / Simon Thomas
Intrinsic Financial Planning Ltd
JM Finn & Co.
Killik & Co.
Protection & Investment Ltd
Hugo Watson-Brown / Laurence Kehoe
Smith & Williamson
Sussex Independent Financial Advisers Ltd
Caroline Bradley /Gillian Weatherill
Jaskiran Sandhu / Adele Horrocks
Ian Cornwall / Alexandra Roberts / Des Fitzgerald