Training, monitoring, attestations, registers and the report to your board, in one place. Built and run by practising compliance officers, and watching the FCA Register and Handbook for you every week.
Most platforms hold what you put in them. This one also tells you when the ground moves: your permissions on the Register, and the rules under your tests and policies.
Every week the portal reads your firm's entry on the FCA Register and tells you what moved: a permission added or varied, a senior manager approved or gone, a change of status. You hear it from us, not from a supervisor.
Every monitoring test and every policy is tied to the rules it rests on. Each week the portal looks twelve months ahead in the FCA Handbook and flags the rules about to change under them, so a policy moves before the rule bites. Point at any reference to read the rule itself.
A quarterly compliance report built from everything in the portal: training, attestations, conflicts, breaches, monitoring, fit and proper, policies and the Register. What needs attention leads. Read it on screen, then download it for the board papers.
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, allocated to owners, recorded with findings and actions.
The quarterly confirmation from every member of staff, with disclosures followed up.
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 and remediation dates.
The annual assessment and certificate for everyone in a certification function.
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 returns and every other date in the year, derived from your permissions.
Everything owed across the portal, in one list, with owners, dates and a Monday reminder.
Compliance monitoring: what is due this month, who owns it, and the result recorded in place.
The compliance officer's home screen: what needs a decision, and every module one click away.
We act as your fractional compliance officer or support the one you have, and the work is done in your portal: we prepare it, 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 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 - training, monitoring, attestations, registers and the report to the board.
