Consult Paradigm Brochure (002)

What We Do

We understand that dealing with regulation in today’s financial world can be difficult, daunting, not to mention distracting when you are trying to achieve your dream and ambition of running a commercially successful business. Sometimes you need an expert pair of hands to help build and maintain a solid regulatory foundation stone, the proven launchpad for any successful financial services business. Our team of vastly experienced Consultants are here to be that additional pair of hands. They will provide first class support for your business with:

FCA Application Support

Business Monitoring

Paradigm Consulting’s Business Monitoring team can provide the following:  On-site Business Monitoring  On-site Coaching of advisers and paraplanners  Remote Business Monitoring  Review of 100% of advice for new advisers  Regular reviews of advice provided by your firm (monthly, quarterly, half yearly or annually)  Pre-sale checking of advice  Ad-hoc review of advice in all business areas The Business Monitoring team work with you to ensure the type of support you receive is shaped to your firm’s own particular needs.

 Drafting the required documentation for your new firm, including disclosure documents, Business plan and T&C plan  Drafting financial forecasts and profit and loss accounts  Dealing with the regulator’s queries as the application progresses  Novation of clients (if required)  Full post-authorisation support (see our Support section for more information) If you take advantage of our knowledge, support and excellence by subscribing to Paradigm Consulting on an on-going basis, this will also provide you with access to Paradigm’s dedicated arrangement, via our partner broker, Howden, with market leading insurers for PI insurance. This arrangement is based around insurers considering more favourably the reduced level of regulatory risk posed by firms that utilise our financial consultancy services.

Providing FCA application support and FCA regulation assistance is one of our specialist areas and we are proud to have personally helped hundreds of firms gain FCA authorisation over the years. Our total commitment and bespoke approach to helping all of our clients is acknowledged across the financial services community. The moment a client asks, ‘do I need to be FCA approved?’ or ‘how do I get FCA approved?’ we are by your side every step of the way. Our support is provided on a bespoke basis (after all, no two firms are the same) and includes assistance and guidance with:

Our fully rounded Business Monitoring support will reduce one of the potentially highest risks in your business. Business Monitoring support is often referred to as file review, but we don’t subscribe to that simple thinking. Our Business Monitoring support provides so much more. Not only do we review your files, we develop the quality and suitability of the advice you provide. By going the extra mile, we help you be the best you can possibly be. Of course, pre-sale, post-sale, regular and ad-hoc reviews are all available and across all areas of business. We can check 100% of cases for new advisers and our service can shift and adapt to dovetail perfectly with your own firm’s T&C scheme. But… our Business Monitoring consultants also provide adviser coaching and training where we feel this will provide better value and even better advice results and outcomes for your firm and your clients.

 Using the FCA online connect system  Building your FCA application form

 Sense checking and fine tuning your responses  Providing FCA authorisation help by answering all your FCA authorisation process queries