Compliance support for IFAs

Our compliance framework supports you and your clients

Our approach

Our compliance framework supports you and your clients

Robust yet flexible

Our compliance framework can accommodate your business, so you don’t have to change platforms, providers, or business models.

Personalised and practical

Our compliance specialist, many of whom are former advisers or paraplanners, are available on-demand to provide clear, practical guidance.

Unobtrusive monitoring

Our compliance monitoring and file review process is extensive yet unobtrusive, supporting compliance without disruption.

Up-to-date best-practice

Stay informed with regular updates on FCA regulations, best-practice, products, solutions, and financial advice frameworks.

Ongoing support

Accessible compliance expertise on-hand

At ValidPath, we provide direct access to experienced specialists, clear guidance to support your business, and a library of practical resources to keep you informed and support best-practice.

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Client proposition

Our team will help you transition or create your client proposition, including CIPs and client-facing documentation to ensure you meet regulatory requirements with confidence.

Personalised support

Access one-on-one support and guidance from compliance specialists tailored to meet your business needs and your clients’ circumstances.

Comprehensive resources

Stay informed with detailed compliance guides, FAQs, templates, forums, working groups and training materials.

Best-practice

Enhance your proposition and stay ahead of regulatory changes with insights from compliance experts.

Business operations

Compliance support tailored to you and your business

Frictionless framework

Our compliance framework can work with your existing processes to simplify adherence.

Regulatory confidence

Have confidence your business and advice process is operating within regulatory guidelines.

Time-saving tools

Reduce your compliance workload with automated reviews, clear reporting, and practical guidance.

Scalable framework

Our compliance framework scales with your business and compliance requirements.

Compliance FAQs

How can we help?

We answer your questions about our compliance support and how it benefits your business.

How will the ValidPath compliance framework support my business?

The ValidPath compliance framework, developed over 20 years, provides a framework and clear set of guidelines to support best-practice financial advice and robust regulatory compliance and reporting. Utilising technology, data and a robust oversight and support process, firms and advisers can operate with confidence within a compliant framework.

What is the philosophy of the ValidPath compliance framework?

The ValidPath compliance framework aims to take a pragmatic approach to managing regulatory compliance with an emphasis on supporting good client outcomes, and what is in the client’s best interest. Utilising technology, data and a robust oversight and support process, the ValidPath compliance framework aims to support advisers to best support their clients via providing guardrails and guidance by which firms and advisers can prosper.

Can I access dedicated compliance support?

Yes. Our compliance team is available on-demand to support you with your advice and compliance questions, and we have a range of resources and guidance available for Members. We offer one-on-one support from experienced compliance specialists who respond quickly to your queries, so you can continue to operate smoothly.

How will ValidPath keep me informed about regulatory changes?

We provide regular updates on evolving FCA regulations, alongside weekly insights into new products, research, system developments, and frameworks for financial advice