Our regulatory technology has been specifically designed to support FCA regulated firms in managing and maintaining their regulatory obligations.
Our software can facilitate several different compliance functions, including:
Compliance Star – On-demand Compliance Software
Compliance Star is a technology-enabled compliance platform that facilitates compliance management, workflow and monitoring of firms authorised by the Financial Conduct Authority (FCA). Compliance Star is underpinned by a ‘fail-safe’, calendar-based task management system. This allows for both automatic and manual setting of tasks, notifies actions, populates deadlines into a calendar, issues reminders and monitors for completion. The platform reduces compliance burden significantly and is currently being used by leading regulatory networks. It enables complete tracking of internal regulatory processes and provides up to date single point data access combined with the ability to produce FCA required reports on such data, saving time and cost. If you are looking for control, we think Compliance Star is just the solution you need.
File Review Services
Our comprehensive file review checking system generates a wealth of management information, both firm-wide and at individual adviser level. This helps spot any trends and enables you to take any action required. Using our file review service gives you the benefit of our extensive compliance expertise and experience. We also provide call monitoring Q&A services, so you can be confident your operations are consistently compliant.
We can carry out remote file reviews on a regular or an ad-hoc basis. We’ll always provide a full report that highlights good practice as well as any areas requiring improvement or training. We can also help you implement these improvements, with compliance solutions specifically tailored to your business model.
The Knowledge Centre is our online compliance training portal. It gives you access to a wide range of user-friendly e-learning and evaluation materials.
Registered users can log in whenever it suits them, using their own unique user ID. This provides access to a wealth of high-quality modules, each with an end-of-module knowledge assessment. All content is updated on a regular basis as the compliance landscape changes.
Managers and supervisors get access to the Knowledge Centre’s management information system. This provides easy access to a range of metrics including usage, pass/fail rates and adherence to compliance training obligations.