We recognise technology’s power to deliver practical and efficient compliance solutions. That’s why we’ve invested in developing IT solutions driven by our first-hand knowledge and experience that are purpose-built for the financial services market.
The result is Compliance Star.
Expertise is just the beginning
Compliance Star harnesses the power of real-time data collection and reporting to support the efficient and effective remote management of Appointed Representative (AR) firms. This provides improved regulatory oversight for the principal and an enhanced experience for AR firms.
Full service, no compromise
Compliance Star is a technology-enabled platform that facilitates compliance management, work flow, and monitoring of FCA authorised firms. Its failsafe calendar-based task-management system supports both automatic and manual task setting, notifies actions, populates deadlines into a calendar, issues reminders, and monitors completion.
The software significantly reduces the burden of compliance and is currently in use by leading regulatory networks. The platform enables comprehensive tracking of internal regulatory processes. It provides up-to-date single-point data access, and the ability to turn this into the reports required by the FCA, saving you time and money.
If you want to take control, Compliance Star is the solution you need.
What can Compliance Star do for your business?
The software has two key benefits. It reduces the administrative burden on authorised firms, while still making sure they can evidence robust compliance arrangements and controls. It works for both directly authorised firms who want to monitor branches or sub-brokers – and for principal firms who need to monitor and supervise ARs.
Compliance Star is suitable for firms across all sectors of the financial services industry. Whether you’re an investment manager, a P2P lending platform or an insurance broker, Compliance Star will work for you.
All of its modules have been designed to generate evidence of strong compliance controls and positive outcomes. Powerful management information, available at the touch of a button, facilitates robust management and board oversight and efficient FCA Gabriel returns.
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