The Financial Conduct Authority (FCA) is demanding more of UK financial firms, with an outcomes-based approach, which prioritizes both consumer welfare and healthy market competition. Let us help you identify and reduce risk points to ensure compliance with the highest of standards.
The FCA and the Alternative Investment Fund Managers Directive’s (AIFMD) rules and regulations, including the new Marketing Rule, are designed to instill consumer confidence in the UK financial system and European markets. It’s a big task and one which requires a lot of work for compliance teams. You deserve a solutions partner as dedicated to perfection as you are.
– Asset management firm chief financial and chief compliance officer
The FCA is dedicated to protecting consumer interest in the UK and European markets. This includes using technology and data metrics to identify potential non-compliant activity. Trust in your program and your software partner with customized workflows and reports to easily spot red flags and quickly address risks of noncompliance.
Trust your data and realize the benefits of what a complete view of your compliance program can do for you. COMPLY helps you streamline your processes, remove risks associated with human error, and shine light on potential conflicts of interest, Code of Ethics non-compliance, and more.
You are most likely asking for more insight into your partners and vendors policies and procedures these days. The same is true for your firm, as everyone is demanding more visibility into who they are working with.
A precise and thorough compliance software can help you quickly and accurately provide this information and let others know you are series about transparency, ethics and best practices – all of which can help set you apart from the crowd.
Yes, COMPLY offers solutions to help firms meet a wide variety of regulations globally, including the FCA. COMPLY’s SMCR Module is designed to help regulated firms facilitate and manage the requirements of the FCA’s senior managers and certification regime. This allows firms to easily capture senior management functions and responsibilities through the creation and distribution of digital SMCR forms. You will also have the ability to manage and maintain further requirements from the FCA regarding statement of responsibilities, fitness and propriety assessments, consumer duty reporting and conduct rules training and monitoring.
COMPLY provides our customers with the service and support required to meet the exacting demands of the regulatory industry, while embodying the attention to detail you demand of yourself and your team. With 24/5 support and unparalleled in-house expertise, your program is our priority from the moment you begin the onboarding process. That’s our promise to you.
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Dependable. Accurate. Comprehensive. Manage your compliance program with a partner who is as dedicated to getting it right as you are. Manage your compliance program with COMPLY.
