Risk & Compliance Management

Our expert Risk & Compliance Management service helps to protect your business.

We know how high compliance sits on any broker’s list of priorities, so we continue to invest heavily in our Risk & Compliance Management service to ensure that our Members are protected. Below is a flavour of what we can provide, but to discover what full service offers, please get in touch.

 

Dedicated risk & compliance consultants

We appreciate that, at times, compliance can seem quite daunting. That’s why our members have access to a dedicated risk & compliance consultant who would get to know you and your business and provide you with the tools and guidance you require to operate compliantly.

 

Annual audit

The annual compliance audit provides a review of your firm, aiming to ensure that the embedded culture, systems and controls are in line with the key risk areas and hot topics highlighted by the FCA.

 

Broker Assess

Broker assess is an award-winning, easy to use online system which helps firms to maintain compliance with training and competence requirements, whilst providing a robust

Management information system for record keeping purposes.

 

Document library with over 150 templates

We offer comprehensive frameworks and template documents to guide you through the regulatory environment.

 

Compliance manual

Our comprehensive compliance manual can be tailored to fit the needs of your business.

 

Helpdesk support for general FCA queries

Support and guidance is available in dealing with regulatory reporting, notifications and applications

Including any queries you may have on the completion of your RMAR and use of the online FCA ‘connect’ system.

 

FCA assessment preparation & FCA thematic preparation

We are able to monitor thematic reviews as they are released by the FCA and help you understand the requirements of any potential changes to regulatory rules, and how these may affect your business, so that you are prepared for any transition where required.

To explore further, current Members, please visit the Hub. Alternatively, if you are not already part of the Network, please follow the link below to learn more.

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