Pacific IFA

 

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Compliance

We don’t tick boxes

You hear a lot about compliance these days. There’s scores of regulations that financial advisers have to meet, with new ones coming all the time. Most of these are good rules that we believe in and support.

But, like risk, compliance is a big word for us, much bigger than mere regulations. Pacific IFA’s  overall goal in compliance is not to meet a set of rules but to meet our own goals as well. That’s why we invite rigorous outside audits from former officials of the Financial Services Authority, one of the most respected regulatory agencies of its kind anywhere.

And as a matter of routine, we subject our entire business to relentless self-analysis. We look hard at our investment philosophy, our results, our counter parties, our attention to detail, the quality of our service, and of course our observance of officially mandated compliance practices. We even have our own in-house compliance officer who conducts spot checks on all the firm’s  procedures. So you could say we do audits on audits

Far from being a nuisance, we see all these checks and balances – compliance, if you like -- as a vital part of our success.
           

 

 

 

 

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Pacific IFA Limited. Registered in the United Kingdom No. 6646763. Registered Office: Atlantic House, The Tye, East Hanningfield CM3 8AA. Authorised and regulated by the Financial Conduct Authority. FCA Register number 490522. You can check this via the FCA website at www.fsa.gov.uk/fsaregister (this website address is subject to change in the near future to the new FCA website) or by contacting the FCA on 0845 606 1234. The guidance and/or advice contained within this website are subject to the UK regulatory regime, and are therefore targeted at consumers based in the UK. Your home may be repossessed if you do not keep up repayments on your mortgage. You can choose how we are paid for mortgages: pay a fee, usually 0.5% of the loan amount, or we can accept commission from the lender. The FCA do not regulate some forms of Mortgage.

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