From the annual reviews we have carried out, the following are some of the areas that members have needed guidance with. In all instances they are information that a consumer should know about the firm and the services being offered:

Working outside of competance, including carrying out reserved or regulated activities

Details of individual status and regulation

Complaints handling procedures

Money Laundering Regulations

Website and social media

Companies House requirements

General Data Protection

Client Care Letters not sufficiently detailed about service and price

You should refer to the Risk section of this website where resources can support you in addressing some of these issues.