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Compliance

SFIA is authorised and regulated by the Financial Services Authority (FSA) which guarantees consumer protection and ensures that our consultants are professionally qualified, that they strictly follow recommended procedures and operate truly as independent advisers.

SFIA have an internal compliance function headed by a Director of Compliance who is supported and audited by Three Sixty Services, an outside independent body to oversee that FSA regulations are maintained. This three tiered approach to complying with regulation, i.e. FSA, auditor and autonomous SFIA Compliance Department, demonstrates SFIA's commitment to offer its clients the highest possible service standards in the most secure financial service environments.

Stringent compliance procedures are implemented to give the adviser a clear vision of customer orientated expectations. Most recently the regulator supported this regime further with a "Treating Customers Fairly" policy and a "Retail Development Review" (RDR), a comprehensive seven year review of how the industry's working practices can be reshaped.