FCA Ongoing Compliance

Our in-depth understanding of regulatory requirements and industry best-practice allows us to act as an additional compliance resource to clients, working alongside them to provide solutions that are specific to their needs.

FCA Ongoing Compliance

Our in-depth understanding of regulatory requirements and industry best-practice allows us to act as an additional compliance resource to clients, working alongside them to provide solutions that are specific to their needs.

About our service

We provide a wide range of FCA compliance monitoring services where our senior consultants visit you on a weekly, monthly or quarterly basis. We typically like to work with clients on an ongoing, retained basis as it allows us to work proactively and better understand your business and risk appetite. Our approach to compliance consulting ensures that our recommendations are always pragmatic, as well as commercial. Our consultants take great efforts to work collaboratively in the office. This approach allows you to leverage our experience and knowledge of the common regulatory issues we see across our client-base and the industry, which greatly benefits our clients.

Our ongoing monitoring services start with a comprehensive initial assessment by two consultants to learn about your business and identify any priorities. We follow up our visits with a written report that documents what we have reviewed and any recommendations intended to strengthen your compliance programme. Our reports are well received when provided to the board, regulators, clients, investors and other external stakeholders.

Click here if you would like more information on our on-going FCA compliance support services.

Service Checklist

Policies and Procedures tailored to your business and designed to meet the expectations of the FCA, including:

Senior Management Arrangements, Systems and Controls

Senior Managers and Certification Regime

Conduct of Business

Conflicts of Interest

Financial Crime (Market Abuse, Money Laundering, Bribery and Tax Evasion)

ICAAP/Risk Assessment

Financial Promotions

Compliance Monitoring Programme

Independent Monitoring

Strategic Planning

Marketing and Financial Promotions Review

General Regulatory and Compliance Advice

Implementation and Review of Written Compliance Procedures as Appropriate

FCA GABRIEL Reporting

FCA CONNECT Filings

Threshold Disclosure Reporting

Assistance with correspondence and interaction with the FCA


Accessible

All courses are accessible on our bespoke web or app platforms immediately upon purchase.

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Automated

All courses are delivered through fully-automated, interactive online visual solutions.

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Affordable

Courses cost from as little as £20 per Learner per Course, or £6 per Learner on Subscription.

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Certified

A certificate is issued on successful completion of all courses for compliance-filing and all UK courses are CPD-certified.

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Measurable

All courses include regular ‘Check Your Knowledge’ sections throughout and an end-of-course Quiz.

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Fast

Courses take from 30 to 90 minutes to complete and can be viewed and completed in multiple sittings.

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Purchasing, Onboarding & Volume Discounts

You can purchase any combination of our broad range of e-Learning courses and onboard multiple users in your Firm, in just four quick and easy online steps:

  1. Select the courses and add them to your Basket
  2. Checkout and purchase your course(s)
  3. Sign In and Register your relevant employees/Users
  4. Allocate all your registered employees/Users to their course(s)

We’ll help you connect the dots with clear prompts and assistance throughout this quick and easy four-step process, which includes applying automated Volume Discounts depending on the number of courses you purchase, as follows:

Number of courses Volume Discount
10 – 24 Courses 2.5% Discount
25 – 49 Courses 5% Discount
50 – 99 Courses 7.5% Discount
100 – 149 Courses 10% Discount
150 – 199 Courses 12.5% Discount
200 – 249 Courses 15% Discount
250 – 299 Courses 17.5% Discount
>300 Courses 20% Discount

You will receive an enrolment email for each Course you sign Users up to.

Once registered and enrolled onto their course(s), your employees/Users will each receive a welcome email inclusive of their login credentials/instructions together with a separate enrolment confirmation for each of their courses.

All Clients have access to a centralised User Dashboard with Live Reporting on the progress of all your enrolled employees/Users and from where you can download all your employees/Users Course Certificates once they have successfully completed their courses. This is clearly explained in our Power User Guide, downloadable from your Account.

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