Make it easy for your employees to comply. Our intuitive system can be easily accessed and it has built-in automations to simplify the whole process.
Make it easy for your employees to comply. Our intuitive system can be easily accessed and it has built-in automations to simplify the whole process.
Create document or question based attestations. Deploy to as many employees as you would like. Automated reminders ensure completion. Track progress in your management dashboard.
Streamline your support process. Assistance requests and questions are managed in the system. Add these to your library to enable others to search so reducing enquiries and ensuring a consistent response.
Define your own conflict types. Record and approve all employee conflicts with date stamps and audit trail. Allow access to defined people and groups to provide stakeholder transparency.
Customise your internal PA dealing process to manage the workflow from pre-trade approval to post -trade confirmation. Record all employee holdings, manage restricted lists, and support SEC attestations.
Allow employees to record all gifts given and received within the system. Automate approval levels to smooth processing and the management of the register.
FCA regulated financial services firms of all types and sizes, from individual companies to complex groups with decentralised compliance functions.
Monitor, manage and evidence your compliance programme and unlock insights which improve your governance, risk management and FCA regulatory compliance.
Software and automations to manage your regulatory obligations and protect you and senior managers from non-compliance and reputational damage.
Company Registration Number: 12405117
69 Hermitage Road, Hitchin, Hertfordshire, SG5 1DB.
