Training, monitoring, attestations, registers, fit and proper and the report to your board, in one place. Sized to your firm, much of it tested from the records the portal already holds, and built and run by practising compliance officers.
Most compliance software holds what you put in it. This one tests from what it holds, sizes the programme to the firm, and tells you when your permissions or the rules under them move.
The portal already holds your training records, registers, attestations, fit and proper assessments, FCA Register reading and policies, so the monitoring tests on them record their own results: who was late with training and by how much, which register is missing something a member of staff disclosed in their attestation, which senior manager has not been assessed this year. The findings are written out with the whole population named, and your compliance officer signs them off.
Answer a few questions about the firm - how many people, how many clients or fund investors, how much it trades, whether it comes across inside information, works overseas or uses AI tools - and the programme follows. A four-person manager gets a short quarter and more checked as things happen; a live risk is tested every quarter whatever the size; and the reason sits against every test, which is what a supervisor asks to see. Full-scope AIFMs, placement agents and advisers each get the tests that fit them.
A quarterly compliance report built from everything in the portal: what needs the board's attention first, then training, attestations, conflicts, breaches, fit and proper, policies and the FCA Register - and the quarter's monitoring, test by test, with what each one found. It replaces the checklist kept in Word. Read it on screen, then download it for the board papers.
Every week the portal reads your firm's entry on the FCA Register and tells you what moved - a permission varied, a senior manager approved or gone. It also looks twelve months ahead in the FCA Handbook and flags the rules about to change under your monitoring tests and policies, so a policy moves before the rule bites.
The portal is built and operated by practising SMF16 and SMF17 holders, not by a software company. On a retainer we prepare the work in your portal and your compliance officer signs it off, on the record, with the name of whoever did each part.
Take the ones your firm needs. Everything owed across them comes together in one list, and into the report to the board.
Twenty CPD-assessed courses, scheduled by group, chased automatically, certified and recorded.
A programme proposed from your permissions and sized to your firm, allocated to owners, with tests that record themselves from the portal's own records.
The quarterly confirmation from every member of staff, with disclosures followed up and checked against the registers.
Declarations, decisions, risk ratings and a register kept under review.
Clearance requests through the line manager and compliance, with a restricted list and holding period.
Breaches and incidents, and gifts and hospitality, with decisions, remediation dates and the limits set by your own policy.
The annual assessment of every senior manager and certified person, declarations signed online, and certificates issued.
What the firm holds, when each was last reviewed, and when the Handbook moved under it.
What a new starter needs in their first weeks, and whether it happened.
RegData and AIFMD Annex IV returns and every other date in the year, worked out from your permissions.
Everything owed across the portal in one list - overdue, waiting for a decision, coming up - on the home screen, in Tasks and in a Monday email.
Compliance monitoring: what is due this month, who owns it, and the result recorded in place.
The compliance officer's home screen: everything overdue, waiting for a decision or coming up, across every module, in one list.
We act as your fractional compliance officer or support the one you have, and the work is done in your portal: we prepare it, the portal tests what it can from its own records, your SMF16 signs it off, and the board report writes itself.
Compliance consultingThe full module suite for a firm that runs its own compliance. Training is £120 per person per year plus VAT on top. Everyone at the firm renews on one date.
We will walk you through a demonstration firm with eighteen months of history in every module: the monitoring testing itself, the programme sized to the firm, and the report to the board.
