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TCF management MI and KPI monitoring system TP system provides you 24/7 monitoring for business KPIs Systems alerts you to any adverse KPIs proactively on a daily basis Management exception report produced every quarter Wizard guides user through to production of any necessary action plan

Key Performance Indicators and event management monitored daily to minimize risk Adviser Failed cases Adviser Execution only Company Execution Company NPW/NTU

Adviser NPW/NTU Adviser Replacement Company Replacement Adviser Complaints Firm Persistency 3, 12 & 36 months Adviser Persistency 3, 12 & 36 months Adviser Product spread Adviser Provider spread Company Provider spread Missed Annual Knowledge Assessment Missed Annual Credit check Missed Annual approved person declaration Adviser missed CPD Missed GABRIEL Return Missed All staff declaration Missed Quarterly compliance review Missed Adviser quarterly review

Continuing Professional Development Online CPD register for each adviser

Evidence uploaded and stored online simply and securely Diary event for CPD configured into advisers diary T&C supervisor and adviser alerted on non completion of CPD

Annual Knowledge Assessment On-line knowledge assessments are issued on the anniversary of the adviser joining TP

the tests is sat and marked online providing an audit trail.

Event configured into T&C diary , prompted when due and alerted when overdue

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Money Laundering Refresher Training Provided in accordance with the Joint Money Laundering Steering Group

Gabriel completion True Potential compliance assist you with your Gabriel return every six months Gabriel due dates configured into your system diary Gabriel event prompted by diary and business alerted with non completion

Regulatory News Updates Regular compliance news and updates will be provided as a blogs on the service site This will include all relevant compliance matters Headline information will be presented on the adviser home page as a link

T&C supervisory & Compliance events prompted TP compliance configure all events for your firms compliance and T&C procedures Firm alerted to non completion of events System will record all overdue events to T&C supervisor

Fact find updates / approval

Personal, corporate and mortgage electronic fact finds available Expert attitude to risk and risk profile questionnaire provided Expert asset allocation and model portfolios configured Risk ratings and definitions automated in suitability reports

Suitability Report templates supplied A full and comprehensive suite of suitability reports available via generator Additional templates available covering all non main stream investments and non-

investment insurance contracts

Suitability reports kept updated for tax and legislative changesRecruitment guidance

A process flow to ensure the recruitment procedure is completed in a compliant manner Recruitment events configured into supervisor diary Diary events prompts for new joiners T&C

Financial Promotion Guidance Fully compliant advert guidance available Details for formatting business stationery provided

Comprehensive Regulatory Documentation Library All regulatory documentation is provided Updated according to regulatory changes Compliance Support with standard forms

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Compliance registers available to record all events CPD register to record adviser development Financial promotions register Breaches register Money Laundering register Complaints register with full complaints management process

Compliance procedures manual TP provide firms with their own compliance manual T&C procedures provided and bespoke to firm type All procedures configured into technology platform Copies available to firm via their own compliance library

Business Plans & Templates automatically set up Regulatory Plans for monitoring Full business continuity plan Disaster recovery plan Recognised Agreements made available for locums, Professional Introducers etc.... Compliant adviser contracts both employed and self employed made available

FSA Authorisation process

Completion all the FSA Application Forms Guidance of any FSA information requirements Submission to the FSA and follow up to completion Automated Agency set up with product providers

Transitional Arrangement - True Potential private client Strategies

For those seeking direct authorisation from the FSA Arrangement to trade using True Potential services within weeks Bridge the gap and smooth the transition when setting up new firm All Clients, policies and pipeline novated to your new company Very competitive rate for using the Transitional arrangement

Professional Indemnity Insurance

True potential have an exclusive PII arrangement available for firms Cover provided by leading Lloyds underwriter Policy covers FSA, Mortgage and General Insurance business Excellent terms and excess Quotation provided within 48 hours

Technical Support and Guidance

Technical support for Pension Transfers Pension Transfer specialists available for firms who dont have the permissions Guidance available for all technical issues Links to providers for QCA level 4 training support