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Technology

At Thistle Initiatives we appreciate the power of technology to deliver practical and efficient compliance solutions.

So much so, that we have invested in developing IT solutions which are driven by our first-hand experience and are specific to the financial services market. The result is Compliance Star.

Compliance Star has two primary benefits: it aims to reduce the administrative burden on authorised firms while still ensuring they can evidence robust compliance arrangements and controls. The system works for both directly authorised firms wanting to monitor branches or sub-brokers, as well as principal firms needing to monitor and supervise Appointed Representatives.

It is suitable for firms across all sectors of the financial services industry. Whether you are an investment manager, Peer 2 Peer lending platform or an insurance broker, Compliance Star will work for you. The system is currently in use by over 30 regulated firms.

Compliance Star has 12 modules built within the system as follows:

All modules have been designed to provide evidence of strong compliance controls and positive outcomes and offer valuable MI at the touch of a button for robust management and board oversight as well as efficient FCA Gabriel returns.

If you’d like to discuss ways in which technology could help you manage the challenges of operating a regulated business please contact us on 02074360630 or email us on info@thistleinitiatives.co.uk.


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