• Form a long-term working partnership with you, building together a successful business that stands on the sound foundations of best business practice.
• Remove the worries and business risks in the area of regulatory compliance
• Ensure your business is compliant.
• Focus on resolving problems, leaving you to deal with other business issues.
• Provide resources to assist you.
• Be with you in an emergency.
• Make the rules work for you.
• Advise and help to protect you.
• Give you all the necessary skills quickly

Audit of Compliance and Training & Competence procedures

The audit of Business, Compliance and Training & Competence procedures ensures that they meet yours and the regulator's requirements. This includes the following Business and Compliance Consultancy services:

• External compliance monitoring including files checking, Training & Competency (T&C) monitoring and status monitoring.
• Preparation for FSA "ARROW" visit.
• Regular liaison and/or project management meetings with a structured and rolling agenda to ensure current and future compliance issues are identified and actioned.
• Regular updates relating to rule or other regulatory changes or developments and their implications for the business.
• Audit of the Business, Compliance and Training & Competence Procedures and other regulatory requirements.
• Assistance to identify and act upon related compliance issues such as compliance with Data Protection and Money Laundering.
• Providing additional advice and support on an 'as required' basis.
• Providing training resource as required.

     
We also provide a general mentor and a point of reference to ensure you can develop in a compliant but business focused manner. In addition to the above, we provide assistance with the drafting of a Business Plan, Regulatory Business Plan, Compliance Plan, Compliance Manual and Training & Competence procedures.