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.

COMPLIANCE CONTENT AND ATTESTATION

FULL PLATFORM AND CONTENT SERVICE

BESPOKE SOLUTION

(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