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Our consultants have massive in-depth and current experience and knowledge of evolving regulation and compliance issues facing SIPP and SSAS firms. 

SIPPs and SASSs are at the heart of wealth management. By definition these are platforms rather than well-defined packaged products and simple application of regulatory rules is not straightforward. Acceptable practice is constantly being redefined by the discretionary actions of the Financial Ombudsman Service (FOS) and the Courts - see our Insights page for updates and interpretation on case law as it develops.

Our people have had in-depth experience of consulting at a senior level in these areas, and can help navigate through complex issues in a clear, pragmatic, and robust way. Getting on the front foot early is far more cost-effective than being unprepared and having to cope with the crippling costs of remedial action.


Non- Standard Investments (NSIs)

  • Knowledge/experience of 1000 NSIs

  • Past Business Reviews

  • HMRC implications and mitigations

  • Liaison/negotiation with FCA and TPR

  • Both sides of PI insurer liaison/negotiation

  • Dealing with claims management cos


Due Diligence

  • Quantify issues with legacy business

  • HMRC liabilities

  • Past Business Reviews

  • Continuing diligence of NSIs

Pension Transfers

  • DB transfer case reviews

  • Risk population identification

  • CETV calculations

  • Process reviews

Industry sectors

  • SIPP firms

  • SSAS firms

  • SIPP and SSAS consolidators

  • IFAs

  • Investment Managers

  • Discretionary Fund Managers

  • PI Insurers

  • Law firms and other advisers

Most of our work is confidential in nature so details cannot be published. We are happy to provide more specific information about work we have undertaken.

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