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.
Brewin Dolphin Ltd
BRI Wealth Man. plc
Carol Smith / Tim Schofield
Danby Bloch / Paula Whitehead
Fasa Riamah / James Dell
Intrinsic Financial Planning Ltd
JM Finn & Co.
Killik & Co.
Protection and Invest.
Smith & Williamson
Caroline Bradley / Simon Thomas
Jaskiran Sandhu / Adele Horrocks
Ian Cornwall / Alexandra Roberts / Des Fitzgerald