Compliance is easy with Complians

All financial institutions are required to keep evidence they have, and are, complying with the regulations. We like to ensure all your compliance records are in one place – and so do the FCA.

Your compliance books and records

Using our umbrella platform is the first stage to operating as an authorised and regulated entity in the UK.

The second stage is ensuring at all times your entity is fully compliant with the FCA rulebook and the many EU directives and local UK and European laws. Whether it is CRD III, MiFID 2, RDR or AIFMD, or simple financial promotions, we provide our clients with complians.com leading software solution for recording your compliance books and records. The software is a web based app and covers:

Complians

Complians

Financial Conduct Authority and Securities & Exchange Commission books and records
Checklist of typical compliance monitoring
Help with links back to the FCA website
Document upload and reporting
Spreadsheet like input and pivot table searching, filtering and reporting
Human Resource records
Approved People
Training & Competence
Financial Promotions and Marketing
Clients and Customers
– CDD and anti Money Laundering
– ML quiz and training
Blacklists (PEPs and Sanctions) checker
Disclaimers
Counterparties
Gifts and Benefits and Inducements
Suspicious Transactions
TRUP
Risk Assessments
Telephone Recording
Breaches and notifications
Remuneration code (AIFM and CRD)
Personal Account Dealing
Restricted List
Insider reporting
Products
Passport licenses
Regulatory reporting
Complaints
Full Compliance monitoring programme
Regulator communication
Outsourcer obligations
Disclosures
Appointed Representatives
Business Continuity
Conflicts of interest
Material Interests

Oversight

Complians also offers a compliance monitoring and oversight programme as well as threshold competency reviews for all controlled function staff.