Compliance Group

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.

Paul Savill
2 plan

Kate Parfitt
Alexander Beard Group

Mark Hall
Becket Invest

Michael Wheeler
Brewin Dolphin Ltd

Dean Wragg
BRI Wealth Man. plc

Charlotte McGuckin
Brooks Macdonald

Tim Schofield 
Charles Stanley

Ian Beardow
Courtney Havers

Andrew Pateman
Fidelity International

Danby Bloch / Paula Whitehead
Helm Godfrey

Fasa Riamah / James Dell / Simon Thomas 
Intrinsic Financial Planning Ltd

Caroline Worthington
James Hambro

 

 

Tamson Martin
JM Finn & Co.

Damien Syrett
Killik & Co.

Peter Lockyear
Openwork Ltd

Robert Cameron
Protection & Investment Ltd

Nick Scarrett
Sanlam

Carl Wallis
Seasame Bankhall

Hugo Watson-Brown / Laurence Kehoe
Smith & Williamson

Karl Hopper-Young
Sussex Independent Financial Advisers Ltd

Caroline Bradley /Gillian Weatherill
Tenet

Jaskiran Sandhu / Adele Horrocks
WH Ireland

Philip Kline
Wise Investments

Ian Cornwall / Alexandra Roberts / Des Fitzgerald 
PIMFA

Heidi Bryant 
(PIMFA Administrator)