FSA Compliance Support
(on-going)
As a firm we have spent considerable time developing our approach to assisting regulated firms with their FSA Compliance to allow them time to continue to develop their business whilst we advise on and monitor their compliance. We have determined a structured programme to ensure that regulated firms are helped in a systematic way to ensure that they reach the required compliance standards as soon as possible.
Under our Compliance Support Service we provide a structured program of work which begins with an initial visit to the client to carry out a check on their current systems and controls and documentation. This would be followed by support, monitoring and updating. We also schedule an appropriate number of visits during the year to carry out monitoring and updating.
For the initial monthly fee, we will structure an appropriate level of compliance support to ensure that the client receives the necessary assistance to make sure that their business can reach the relevant FSA standards.
In particular, each client receives the following:
- Compliance Procedures
- Monitoring plan
- Complaints process
- Training & competence plan
- Senior management systems and controls analysis
- FSA Reporting schedule
- All necessary registers
- Advertising checking process to include website
- Ongoing updating of new FSA requirements through regular bulletins and updates
- Telephone and e mail helpline assistance throughout our relationship
- Monitoring and updating visits to assist with the implementation of procedures, update on new FSA requirements and monitor compliance with FSA rules
- Allocation of a consultant point of contact together with an administrator for dealing with day to day issues.
Using our services will secure for you the compliance expertise you may need to apply to your business in order to meet the required FSA standards.
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