As a small firm, you will have a lot to do to keep up to date with the requirements of regulation. On top of that you need to have all your documentation in place to satisfy the numerous governance issues that the Financial Conduct Authority imposes upon you. This can be overpowering and can detract form the real part of your business, generating income.
In order to help our clients overcome this problem we have created a management Information System that enables you to do just that: keep up to date.
What it offers
The MI System provides you with procedures, policies and standardised documentation that will enable you to comply with the requirements not only of the FCA but also other regulators such as the Information Commissioner and Anti-money laundering.
In addition, if you choose to use it as a New Business register it will monitor your business performance and will report on the risks associated with your business model. The System also provides a library of documentation for use across a wide range of Financial Services areas as well as CPD and ongoing training facilities.
SERVICES
What we offer
POLICIES & PROCEDURES
Clearly laid out documents covering all your key processes.
REGULATORY REGISTERS
Registers to deal with all those matters that you need to keep in place.
DOCUMENT LIBRARY
Access to those day to day documents that you are going to need.
CPD
lifelong learning is so important..
REGULATORY BUSINESS PLAN
All those documents that you need to support your ongoing governance..
AML
Keeping you up to date with your AML obligations..