Monitoring

You’re a member of the senior management team of a regulated business. You’re responsible for running the business of course. But you have further responsibilities. To meet FSA SYSC requirements you must be able to demonstrate that you have appropriate systems and controls in place.

So – hand on heart – how confident are you that your current compliance arrangements represent best practice? All in line with the latest FSA thinking? Including Treating Customers Fairly?

Compliant Solutions Ltd can be more than helpful. We can support you in developing a risk based monitoring programme covering key areas that include:

• Complaints data analysis
• Financial Promotions including website data
• Client file reviews
• Conflicts of Interest
• Apportionment and Oversight
• Fit and Proper checks
• Staff competencies
• Span of control