Comprehensive FCA Compliance,
Simplified

Ad Hoc Tasks

Never drop the ball on follow-ups. Schedule and track tasks from meetings, client chasers, and new assessments.

Risk Register

Identify, assess, and monitor risks with likelihood and impact scoring. Keep your risk register alive and actionable.

Gifts & Entertainment

Maintain transparency with a centralised register. Track approvals and ensure compliance with your firm's policies.

Conflicts of Interest

Identify and manage conflicts effectively. Document mitigation strategies and maintain audit trails.

Call Monitoring

Quality assurance for client interactions. Record findings, identify training needs, and demonstrate robust oversight.

Breach Management

Handle regulatory breaches systematically. Investigation workflows, root cause analysis, and reporting to FCA/ICO.

PECR

Privacy & Electronic Communications compliance. Manage marketing consent, cookies, and telecommunications regulations.

Information Security

Protect sensitive information with robust policies, access controls, and security incident management frameworks.

Cyber Security

Defend against digital threats. Risk assessments, incident response plans, and ongoing monitoring protocols.

IT Security

Comprehensive IT security management covering infrastructure, access controls, vulnerability scanning, and patching.

PCI Compliance

Payment Card Industry Data Security Standard compliance. Protect cardholder data and maintain secure payment processing.

Confidentiality

Manage confidential information with clear handling protocols, NDAs, and breach prevention measures.

Consent Management

Capture, document, and manage consent across all activities. Demonstrate clear opt-ins, purpose limitation, and withdrawal mechanisms.

Anti-Bribery & Corruption

Bribery Act 2010 compliance made simple. Proportionate procedures, risk assessments, and third-party due diligence.

Sanctions

Stay on the right side of OFSI. Screening workflows, alert handling, and comprehensive breach reporting.

Fraud Management

Detect, investigate, and report fraud effectively. Structured incident recording, investigation tracking, and FCA breach reporting.

Politically Exposed Persons

Enhanced due diligence for PEPs and their associates. Screening, risk profiling, and ongoing monitoring frameworks.

Due Diligence

Comprehensive due diligence workflows for clients, suppliers, and third parties. Document findings and maintain defensible records.

Vulnerable Customers

Demonstrate genuine care for vulnerable customers. Structured identification frameworks, support measures, and staff training that proves you're taking Consumer Duty seriously.

• Vulnerability identification frameworks
• Support measures tracking
• Staff training & competence records
• Monitoring & review processes

Systems & Controls (SYSC)

Build governance frameworks that satisfy SYSC without bureaucracy. Senior management arrangements and risk management systems.

Suitability Reports

Generate compliant suitability reports with structured templates. Insistent client procedures and comprehensive documentation.

SM&CR Audit

Systematic audits of SM&CR compliance. Responsibilities map reviews, regulatory references, and directory submissions.

Product Assessment

Product governance and target market assessments. Demonstrate you've considered customer interests at every lifecycle stage.

Fair Value Assessments

Consumer Duty fair value frameworks. Price benchmarking, cost analysis, and ongoing value reviews with clear documentation.

Payment Services

Payment Services Regulations compliance for SPIs, APIs, and EMIs. Safeguarding, own funds, and conduct rule adherence.

Capital Adequacy

MIFIDPRU capital requirements and ICARA assessments. Own funds monitoring, K-factor calculations, and wind-down planning.

Conduct of Business (COBS)

Investment conduct rules compliance. Client categorisation, suitability assessments, best execution, and product governance workflows.

• Client categorisation workflows
• Suitability & appropriateness assessments
• Best execution tracking
• Product governance & distribution

FCA Audit

Comprehensive FCA compliance audits. Self-assessments against Handbook requirements and gap analysis.

Threshold Conditions

Ongoing monitoring of threshold conditions. Ensure you continue to meet authorisation requirements.

Mortgages & Home Finance

Mortgage and home finance conduct rules. Responsible lending, affordability assessments, and customer communications.

Insurance (ICOBS)

Insurance distribution compliance. Needs analysis, product disclosure, claims handling, and customer service standards.

Consumer Credit

Consumer credit regulation compliance. Responsible lending, affordability, arrears management, and forbearance.

Treating Customers Fairly

Embedded TCF culture and outcomes. Management information, testing, and demonstrating fair customer treatment.

Regulatory Business Plan

Strategic regulatory planning and forecasting. Horizon scanning, regulatory change management, and board reporting.

Training & Competence

TC requirements and CPD tracking. Skills matrices, training needs analysis, and competence assessments.

Outsourcing & Supplier Management

Third-party risk management. Due diligence, contracts, ongoing monitoring, and contingency planning for critical suppliers.

Funeral Plans

Funeral plan distribution and prudential compliance. Trust arrangements, sales standards, and regulatory reporting.

DISP Complaints Handbook Audit

Comprehensive audit of complaints handling against DISP rules. Gap analysis, remediation tracking, and evidence of compliance.

Client Money (CASS)

Client money and asset safeguarding. Daily reconciliations, segregation requirements, and CASS resolution packs.

FCA Authorisation Tracker

Project manage your FCA authorisation application. Track requirements, documents, and milestones through to approval.

Compliance Attestations

Board and management attestations. Sign-off workflows, evidence gathering, and audit trails for accountability.