The following are three typical scenarios by which we might engage with you,
depending on the size of your firm, your situation and specific needs.




(from £500 per month)
(from £800 per month)
(Contact Us for more information)
  • Compliance Manual branded and tailored to your firm with ongoing updates
  • Integrated Employee Attestation service enabling you to easily diarise, track and manage this critical process
  • Version controlled libraries for storing all of your firm’s compliance documents, by region if required
  • On-line access to “The Library” of template compliance policies, procedures and guidance
  • On-line access to the “Regulatory Reference”; our clear and simple translation of the regulatory handbook
  • Full hosted and managed, the service is accessible by all of your employees regardless of their location
  • Provides assurance that your core compliance framework is reflective of current regulation and industry best practice
  • All the services available with the Compliance Content and Attestation offering plus:
  • Diarise, track and record the outcomes of your Compliance Monitoring Programme
  • Access to our latest best practice suite of Compliance Monitoring Tests
  • Incident, Breach and Client Complaint case management service with integrated root cause analysis and remediation task tracking
  • Workflow based employee disclosure service covering personal trading, gifts and entertainment and conflicts of interest such as outside interests or non-public information
  • Review and approval service for all of your marketing or financial promotion material with integrated audit trails and library of material submitted
  • Comprehensive dashboards and alerts ensuring you meet your compliance obligations
  • Suitable for larger organisations requiring a more bespoke solution
  • fully scalable regardless of the size and complexity of your firm
  • Available as an on-premise installation, fully integrated to your firm’s user access controls and security services
  • Choose from the full platform and content service, the full platform only, or even just selected platform modules
  • Ability to build and deploy bespoke workflows to maximise the integration into your internal processes
  • Fully branded to your firm