Register

Are you part of a Network?

Are you part of a Principal Firm?

Do you sell mortgages on an advised only basis?

Do all appropriate staff hold or are working towards the required qualification?

Do you have Training & Competency scheme in place to ensure that staff have the relevant skills and qualifications required by the FCA?

Do you have a Compliance Monitoring strategy in place?

Do you have a Complaints handling process?

Have you had any systemic issues in the last 12 months?

Do you have a Treating customers fairly policy and procedures in place to satisfy the requirements of the Consumer Duty?

Are you subject to any regulatory action?

Do you have controls in place to ensure that all marketing material is approved and signed off by an Approved Person or by your compliance team before publication?

Do you have procedures in place to identify and deal with vulnerable borrowers or customers who may have a mental capacity limitation?

Do you have procedures in place to prevent Financial Crime (Money laundering, fraud and Bribery)?

Do you record all telephone conversations with customers/ prospective customers?

Will you be submitting First Charges?

Will you be submitting Second Charges?

Call us on 01709 441234