The scope of compliance needs varies greatly from firm to firm. It is imperative that compliance documentation and monitoring plans are tailored to the exact requirements of your firm’s activity. The regulations with which the firm must comply are clearly articulated and understood. Monitoring of compliance is pragmatically implemented on a risk-based approach ensuring efficient allocation of resources. We have the skills and resources to:
Review of firm against evolving regulatory requirements to ensure continued compliance.
Provision of tailored compliance manual and monitoring plan.
Give on-going compliance support This is particularly suitable for smaller firms where several hours per month of on-site support can be contracted. These are in together with unlimited telephone and email support.
Tailored documentation to fit the permission and risk profile of your firm. Including compliance manual and a risk-based compliance monitoring plan. We ensure the allocation of compliance resource is appropriate - focused compliance monitoring where the needs of your business demand. Additionally, we provide procedure manuals. Such as recruitment, training, competence, complaints handling anti-money laundering, templates for disclosure documents, fact-finds and registers.
We can help you should you wish to entirely outsource your compliance function. Perhaps you are a small firm without the internal resource to undertake yourself that are seeking an effective solution in terms of both cost and implementation. We offer a tailored solution to your compliance needs. Such that you only pay for the level of service you need. Be that several days on-premises support a month down to one day a quarter, whatever your firms need.
Our team can undertake a review of your existing compliance procedures and monitoring. This can determine whether existing permissions and monitoring are following regulatory requirements in force at the time of the review. The review can also include file audits to check that procedures are being followed and identify good practices and weaknesses.
For example, advice on products or regulatory reporting. May be available in various formats, including website, helpdesk and individual technical advice.
Support on Individual Issues
For example, in dealing with a complaint, a financial promotion or a particular suitability letter.
Helping to action remedial work required by the FCA.
See our pricelist
Member of the Association of Professional Compliance Consultants
