Services

Douglas Martin Consulting offer a range of services that can be tailored to meet the particular needs of your business. The sole aim is to ensure that all regulatory standards are met in a manner which enhances, rather than hinders the way in which you work. Our bespoke services offered fall into four main areas:

1. Compliance Consultancy:

This takes the form of a structured audit of your business taking into account all the Financial Conduct Authority (FCA) requirements. You will receive a de-brief at the end of the audit followed by a written report with recommended actions to be taken. 

Douglas Martin Consulting can assist the implementation of any recommendations arising or you could choose to fulfill them yourself. 

2. Compliance Outsourcing:

This maybe of assistance to those who, a) have no dedicated compliance staff or, b) have an existing compliance team or individual. 

A) You could outsource either all your compliance requirements or specified elements such as client file reviews or complaints handling. Your requirements can be discussed with time scales and fees agreed in accordance with the work required. 

B) We can also provide an additional resource to your existing compliance functions. This may be useful at times of overcapacity, during staff absence, or where additional work is required in preparation for, or following an FCA visit.

This outsourcing service is provided by our sister company Douglas Martin Associates

3. FCA Application:


To retain control of your business, which is the main reason people go self employed joining a network or becoming an Appointed Representative is not the answer as defeats the object of self employment. You will have to do as the network or AR say no matter how inappropriate it may seem for you business. The only way to make your won decisions and keep control is through Direct Authorisation with the FSA.  

We provide hands-on support and guidance as we project manage the whole process of obtaining Direct Authorisation for our client. Our service concentrates on ensuring the application is as accurate and detailed as appropriate for that business.  

Our service includes advising on such things as Controllers, Close Links, Approved Persons and Client Money as well as appropriate Compliance Procedures and a Compliance Monitoring Plan for their business

We will not simply submit an FCA application and then forget it! Instead we will liaise and monitor the progress of an application. In general, because we insist on getting applications “right first time”, our hands-on approach ensures applications are processed relatively smoothly. In the event that any FCA queries do arise on the application we are there to deal with them for our client. 

4. Training & Development:


Various short courses and workshops have been developed to provide for the needs of your business and staff. This facility provides coaching in the skills required by negotiators, supervisors, sales and support/admin staff and includes training in various techniques such as those of communication and presentation. This is by no means a comprehensive account of courses and workshops available, and again, training can be developed to suit your specific business requirements. Courses available include: 

Coaching & Development Skills 
1-2-1 Training Skills 
Presentation Skills 
Telephone Skills 
Team Building 
Meeting Skills  
Supervisor Licensing 
Anti Money Laundering Training 
Treating Customers Fairly Training 
Fact Find completion Training 
Complaints Handling Training 
Live Observation of advisers – Factfind & Presentation