Dear Adviser Community

Some in the advisory community have the perception that being Directly Authorised has “lighter touch” compliance requirements than being in a Network. This might be true in some respects, such as the complexity of systems and controls for a one or two person firm, but how well protected would you be in the event of an advice complaint / claim / FCA visit? The Network control may be inconvenient in the short term sometimes, but at least you should be able to rest easy in the long term, knowing that all is in place and checked.

Having said all the above, we have just revamped our DA proposition! Please contact us for details, if you are interested in Independent, Whole Of market, Network or DA support services.


Julian Harris AFPC, MAQ, CF9
Chief Executive Officer
julian.harris@julianharris.net
07703 569850

Peter Welsh
Business Development Executive
peter.welsh@julianharris.net
07789 446798

Find out more about Julian Harris