D W Regulatory Consultants Limited (DWC)

DWC is owned and run by Phil Dibb, a former PIA / FSA Supervision officer. DWC offer small and medium sized IFA firms a bespoke compliance service at a competitive price. We do not require IFAs to pay a set monthly retainer and work for most IFAs on a fixed project fee.

Our most popular services are:

  • Telephone guidance on FSA issues that affect IFAs
  • Producing key documents required by IFAs
  • Compliance visits to IFAs
  • Two / three day annual compliance visit with a discussion with all staff at the end, followed by a comprehensive report
  • TCF assistance, both training and developing plans

Phil Dibb also chairs 15 IFA regulatory forums across the UK and has trained over 2500 IFAs on compliance since leaving the FSA in 2002. Typical fees are 680 per day plus expenses.

The following qualifications are held between the two Directors of the firm:

FPC, CeFA, G10, G20, G60, H15, CeRgi and CeMap.

Other Services Offered:

  • FSA Authorisation
  • Compliance Training
  • Documentation CIDDs / Menus etc
  • Health Checks
  • File Reviews

D W Regulatory Consultants Limited (DWC) run by Phil Dibb

Latest Financial Services Positions

Telephone based financial advisors
25000 to 40000 + Bonus, West Yorkshire
On behalf of The Financial Advice Service Ltd, we are pleased to present their latest vacancy. 2... read more

Financial Services Job Search

Salary to