DISP Rules
📝
Complaints Management
Turn complaint handling into a smooth, defensible process. Track response times, root causes, and spot patterns before the FCA does.
Complaint logging & categorisation
Investigation workflows & timelines
Automated MI & root cause analysis
FOS reporting readiness
RESOLVED
98%
ON TIME
!
FCA
Risk Framework
Risk Register
Identify, assess, and monitor risks with likelihood and impact scoring.
Risks Tracked
24
Low
Med
High
Crit
Incident Response
🚨
Breach Management
Handle regulatory breaches systematically. Investigation workflows, root cause analysis, and reporting to FCA/ICO.
Breach categorisation & severity
Investigation tracking
Regulatory reporting support
SM&CR
👥
SM&CR People Management
Complete people management for Senior Managers & Certification Regime. From SMF roles to conduct rules.
SMF & certification tracking
Statements of Responsibilities
Fit & proper assessments
Conduct rule training
FCA Handbook
📊
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 Handbook
⚙️
Systems & Controls
Build governance frameworks that satisfy SYSC. Senior management arrangements and risk management systems.
Consumer Duty
🤝
Vulnerable Customers
Demonstrate genuine care for vulnerable customers. Structured identification frameworks, support measures, and staff training.
Vulnerability identification
Support measures tracking
Staff training records
Monitoring & review
Quality Assurance
🎧
Call Monitoring
Quality assurance for client interactions. Record findings, identify training needs, and demonstrate robust oversight.
Structured assessment frameworks
Training needs identification
Trend analysis & reporting
📄
Suitability Reports
Generate compliant suitability reports with structured templates. Insistent client procedures and documentation.
🎯
Product Assessment
Product governance and target market assessments. Consider customer interests at every lifecycle stage.
💰
Fair Value Assessments
Consumer Duty fair value frameworks. Price benchmarking, cost analysis, and ongoing value reviews.
ICOBS
🏠
Insurance (ICOBS)
Insurance distribution compliance. Needs analysis, product disclosure, and claims handling standards.
MCOBS
🏡
Mortgages & Home Finance
Mortgage conduct rules. Responsible lending, affordability assessments, and customer communications.
CONC
💳
Consumer Credit
Consumer credit regulation. Responsible lending, affordability, arrears management, and forbearance.
MIFIDPRU
💵
Capital Adequacy
MIFIDPRU capital requirements and ICARA assessments. Own funds monitoring and wind-down planning.
PSRs 2017
💳
Payment Services
Payment Services Regulations compliance for SPIs, APIs, and EMIs. Safeguarding and conduct rules.
CASS 5-10
💰
Client Money (CASS)
Client money and asset safeguarding. Daily reconciliations, segregation requirements, and resolution packs.
✅
Ad Hoc Tasks
Never drop the ball on follow-ups. Schedule and track tasks from meetings, client chasers, and new assessments.
⚖️
Conflicts of Interest
Identify and manage conflicts effectively. Document mitigation strategies and maintain full audit trails.
🎁
Gifts & Entertainment
Maintain transparency with a centralised register. Track approvals and ensure compliance with firm policies.
DISP
📖
DISP Complaints Audit
Comprehensive audit against DISP rules. Gap analysis, remediation tracking, and evidence of compliance.
FPCOBS
⚱️
Funeral Plans
Funeral plan distribution and prudential compliance. Trust arrangements and sales standards.
📢
Financial Promotions
Ensure all promotions are fair, clear, and not misleading. Approval workflows and compliance tracking.
ISO 37301
🏛️
Compliance Management Systems
Build world-class compliance frameworks aligned with ISO 37301. Policies, procedures, risk assessments, and monitoring in one place.
Framework documentation
ISO 37301 alignment
Policy management
Compliance monitoring
T&C Scheme
🎓
Training & Competence
TC requirements and CPD tracking. Skills matrices, training needs analysis, and competence assessments for regulated activities.
CPD tracking
Skills matrices
Training needs analysis
Competence sign-offs
📐
Threshold Conditions
Ongoing monitoring of threshold conditions. Ensure you continue to meet authorisation requirements.
🔍
FCA Compliance Audit
Comprehensive FCA compliance audits. Self-assessments against Handbook requirements with gap analysis.
📋
SM&CR Audit
Systematic audits of SM&CR compliance. Responsibilities map reviews and directory submissions.
📈
Regulatory Business Plan
Strategic regulatory planning and forecasting. Horizon scanning, regulatory change management, and board reporting.
🔗
Outsourcing & Supplier Management
Third-party risk management. Due diligence, contracts, ongoing monitoring, and contingency planning.
📋
FCA Authorisation Tracker
Project manage your FCA authorisation application. Track requirements and milestones to approval.
✅
Compliance Attestations
Board and management attestations. Sign-off workflows, evidence gathering, and audit trails.
🤲
Treating Customers Fairly
Embedded TCF culture and outcomes. Management information and demonstrating fair treatment.
UK GDPR
🔒
GDPR Compliance
Take the headache out of data protection. Structured workflows for lawful basis, data subject rights, breach management, and DPIAs.
Lawful basis documentation
Data subject rights workflows (SARs, erasure, portability)
Breach identification & ICO reporting
DPIA assessment frameworks
📧
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 and withdrawal mechanisms.
MLR 2017
🔍
Anti-Money Laundering
Stop worrying about AML compliance. Complete framework covering every MLR requirement with intelligent workflows and comprehensive audit trails.
Customer Due Diligence (CDD & EDD) workflows
PEPs & sanctions screening
Transaction monitoring & suspicious activity reporting
MLR training & competence tracking
💎
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.
👔
Politically Exposed Persons
Enhanced due diligence for PEPs and their associates. Screening, risk profiling, and ongoing monitoring.
🔐
Fraud Management
Detect, investigate, and report fraud effectively. Structured incident recording and investigation tracking.
Verification Hub
🔎
Due Diligence
Comprehensive due diligence workflows for clients, suppliers, and third parties. Document findings and maintain defensible records.
Firm due diligence
AR due diligence
Individual verification
Board Reporting
📊
MLRO Reporting
Generate comprehensive MLRO reports for board and regulatory submissions. Pre-built templates with automatic data population.
Annual MLRO reports
Board MI packs
Regulatory submissions
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