Compliance & Regulatory Support
Built for ARs Who Want Flexibility and Just the Right Touch of Compliance
At Kingsmead Financial Planning, compliance isn't just a requirement - it's core to how we help our advisers run safe, successful, and client-focused businesses. Our dedicated compliance team provides expert guidance, ongoing support, and proactive solutions to help you navigate FCA regulations with confidence.
We know that managing compliance can feel complex, so we've built a comprehensive framework designed to protect your business while keeping processes as smooth as possible.
The services we offer:
File checking & FCA standard monitoring
TCF & Consumer Duty oversight
Annual competence assessments
Policy documentation & templates
Risk monitoring and reporting
Why Compliance Matters
Regulatory compliance isn't just about ticking boxes - it's about protecting your business, maintaining trust with your clients, and ensuring you can operate with confidence.
By working with our dedicated compliance team, you'll benefit from:
Proactive compliance support to keep your business safe
Straightforward processes to help you stay on top of FCA requirements Specialist marketing compliance guidance for financial promotions and social media
Ongoing training and updates to keep you informed of industry and regulatory changes
Compliance is at the heart of our business — but it should never get in the way of yours
Our compliance team works with you, not against you. We offer clear, proactive guidance that keeps you on track - without adding unnecessary admin to your day.
No FCA and FSCS Fees
No PI Insurance Premiums
No Complicated Contracts
Keep most of what you earn
Transparent charges
Become a
Kingsmead adviser
Whether you’re an established adviser seeking new opportunities or taking your first steps in the industry, Kingsmead Financial Planning is ready to guide and support your growth.