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:
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
Training & Competence
Financial Promotions and Marketing
Clients and Customers
– CDD and anti Money Laundering
– ML quiz and training
Blacklists (PEPs and Sanctions) checker
Gifts and Benefits and Inducements
Breaches and notifications
Remuneration code (AIFM and CRD)
Personal Account Dealing
Full Compliance monitoring programme
Conflicts of interest
Complians also offers a compliance monitoring and oversight programme as well as threshold competency reviews for all controlled function staff.