Compliance Monitoring

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Simply having the correct systems and controls in place is not enough to prove to the FCA that your firm is compliant. Your firm needs to provide clear and documented evidence that a culture of compliance is embodied within every significant decision making process, particularly with regards to your customers. The introduction of the FCA has seen the focus on this area increase significantly. We can help guide you through the considerations that are regarded as material and evidence the process.

Thistle Initiatives understand that compliance is more than just ticking boxes. We can advise and help with the more holistic elements of compliance and work with companies to ensure the “compliance culture” is communicated throughout the business.

To assist its clients Thistle Initiatives provides a range of compliance monitoring services to ensure a firm remains compliant. These monitoring services include quality assurance, compliance understanding training and suitability. We can also give valuable insight and guidance into the way a remedial project is being managed to ensure these stay on track.

We can provide “off the shelf” compliance monitoring solutions or work with the company to design and develop bespoke, tailored monitoring plans.

If you would like further information on how Thistle can help you, please contact us on 020 7866 2132 or email us on info@thistleinitiatives.co.uk

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