About dart Compliance Ltd.

dart Compliance was formed in 2008 by the current managing director, Jim Dart, to provide and maintain high levels of ongoing, tailored compliance support to insurance intermediaries and other market participants, at affordable monthly subscription rates. Originally set up to service a limited number of personal connections, the company has grown year-on-year through recommendation and afilliation with network partners to currently provide services for around 150 firms. 

Based in Northampton, our Helpdesk team, Gail and Erika, are available Monday to Friday, 9-5 to answer any questions and provide expert assistance with dart Learning administration, while our team of four consultants deliver expert services on-site and remotely through Zoom meetings and webinars, based on the broker's preference.

All of our compliance consultants have passed CII qualifiactions, with James, our legal interpretation specialist also holding a Masters' degree in Law, and Jim having passed the International Compliance Association's International Advanced Certificate in Regulatory Compliance in 2022. We regularly provide webinars and presentations to various insurance institutes and write learning material for our clients' use, and in our own, and other, Learning Management Systems.

Hedron Network preferred compliance provider

Since our formation, we have specialised in providing subsidised support for Network members and are currently the preferred external compliance support provider for Hedron Network.

Hedron members benefit from a generous subsidy paid by the network in recognition of dart's quality support and can obtain full details via the Hedron Hub

New Application Fixed-Price Service

For over 15 years we've been providing a fixed-price service for new FCA authorisations, and have a 100% success rate through that period. The FCA's standards have never been higher and it is imperative that applications are as complete as possible if they are to navigate through the process in good time.

We collate and check the information required to accompany the FCA forms before making an appointment to meet on-site where we will, with your assistance, complete the electronic application, business plan, consumer duty policy and other documentation in its entirety on that day, with the application submitted to the FCA at the end of the appointment.

Our fee mirrors that of the FCA, at £2,500 (+vat) of which 50% is paid before the submission appointment, and the balance only payable when the 'minded to authorise' notice is issued by the FCA.

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Change of Control Applications and Acquisition Due-diligence

Our consultants are highly experienced in preparing and reviewing change of control applications, regularly achieving speedy approval from the regulator. We will assist in completing and submitting the necessary applications, checking them for omissions or inconsistencies, advising on FCA responses and assisting throughout the process until approval is received.

Pre-, and post-, acquisition due diligence checks have also become an increasing part of our activities due to the currently bouyant market in acquisitions and consolidation. The FCA expect firms to have reviewed the target broker's business to understand the current state of their regulatory arrangements and identify possible risks. Our expert consultants, using our bespoke REaCH system to gather baseline information and act as a platform for more detailed enquiries, will provide a comprehensive picture of the target firm's regulatory position, systems & controls, culture and conduct risk so that the buyer can make informed decisions.