Resources

Our Resources section offers news about My Compliance Centre along with articles and opinion about compliance management systems and answers to key questions we are often asked.

 

  

 

''My Compliance Monitoring spreadsheet was so huge – I can’t explain; it was just a nightmare. Now, if a regulator comes in, it will be easy to show them exactly what we have done.'' - Client Feedback
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Quarterly Newsletter

29 September 2022


We are pleased to publish the Autumn 2022 edition of our quarterly Newsletter.

Read Newsletter Here

Appointed Representative Risk

14 September 2022
Managing Appointed Representatives using a Compliance Management System 

Ben Mason argues that Compliance Management Systems can play a very substantial role in assisting Principal firms manage the increased risk of their Appointed Representatives, both through the automation of processes and providing evidence to all stakeholders that compliance is being achieved. 

Read article here

 

Compliance Management – Building the Return On Investment

15 July 2022

 Implementing a Compliance Management System can be a life-changing experience for compliance teams. 

Read here

and see how My Compliance Centre CEO, Ben Mason, outlines how a compelling Return on Investment (ROI) business case can be constructed. 

Quarterly Newsletter

30 June 2022


We are pleased to publish the Summer 2022 edition of our quarterly Newsletter.

Read Newsletter here

Consumer Duty

23 June 2022
The FCA, Consumer Duty and Compliance Management Systems

In this article, Ben Mason, CEO and Founder of My Compliance Centre looks at how Compliance Management Systems will assist regulated firms fulfil their obligations under the forthcoming Consumer Duty regulations.

Read article here

 

The cost of compliance

16 June 2022

My Compliance Centre CEO, Ben Mason, revisits a favourite old subject and attempts to calculate the cost of compliance with financial services regulations to the UK and asks, ‘is it value for money?’.

Read article here

 

What to look for when buying a Compliance Management System

12 May 2022

Read More Here

Fiske PLC Case Study

8 April 2022

"When I joined the company we had a room full of lever arch files. I knew that we had to do something to enhance our effectiveness and efficiency. We needed a technology solution that would help with the daily tasks that a modern-day compliance department has to manage.

Leigh Middleton-Ross, Head of Compliance, Fiske plc

 

Read More Here

March 2022 Newsletter Published

31 March 2022


Welcome to the Spring 2022 edition of our Newsletter, which includes articles that analyse which regulators are most active, the standout notification of the year and the Unintended Consequences of Regulation.

 

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Reasonable Steps and SMCR

15 March 2022

One of the biggest challenges facing Senior Managers who are regulated under the FCA's SMCR duties is ensuring that they have taken proportionate ‘Reasonable Steps’.

Ben Mason, CEO of My Compliance Centre looks at the challenges and practicalities of the reasonable steps obligation. 

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My Compliance Centre supports Mazars Financial Planning’s GRC during a period of high growth

25 February 2022

My Compliance Centre is delighted to be partnering with Mazars Financial Planning to support the ongoing development of Mazars’ Governance, Risk and Compliance processes.  Mazars went through a comprehensive selection process, evaluating market provision from a range of providers before selecting My Compliance Centre. 

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Case Study of Compliance Management in a Small Firm

28 January 2022

“It does not matter how well you are doing at the other stuff – compliance can trip you up.”

Read

Document Manager Module launched

30 November 2021

A new module that forms part of the core offering. Document Manager allows you to put all your compliance documents in one place and provides full version control and monitoring. 

Find out more

Recorded Webinar: automate compliance, elevate your profile

Available on demand

Ben Mason will show you how to say goodbye to tedious and unnecessary admin and free up your time so you can focus on adding more value to the business.

Listen now

The iPhone of compliance

23 September 2021

My Compliance Centre brings iPhone simplicity to your compliance headache. We make compliance beautifully simple. Watch our short introductory video to see how we can make a difference to your compliance.

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Robust compliance with time to spare

22 September 2021

Robust and accurate regulatory compliance that takes less time and cuts overheads. As evidenced by an independent stockbroking and investment management firm. This is their story. 

Read

Future of RegTech: listening to the buyers

22 September 2021

it was great to see the FCA publish research in June looking at RegTech from the buyers’ perspective. I’d like to delve a little deeper and share with you my opinion on four key points.

Read

Compliance function: a roadmap to the future

27 September 2021

What are the features of an ideal compliance function? Use our four-stage model to map where you are on the continuum of sophistication and practical steps you can take to reach the next level.

Read

Enhance your compliance monitoring programme

8 July 2021

Many firms are moving away from spreadsheets to automated systems to save time; make management reporting easier; and to access better management information.

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New video published

5 July 2021

A new video published today offers an insight into My Compliance Centre and many of the features and benefits that are attracting an increasing number of firms of all sizes to look closely at integrated compliance management platforms.

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Enhancing governance at the point of sale

11 June 2021

The FCA's 'Dear CEO' letter to the insurance industry in September 2020 reinforced that firms need to improve their controls over sales processes.

Read

Julian Alexander joins as CTO

9 June 2021

Julian Alexander joins as as Chief Technology Officer (CTO), with responsibility for technology, systems development and infrastructure management. 

Read

Choosing a compliance management system

18 May 2021

There are many issues to consider when buying a compliance management system. Our ten point guide will help firms, particularly choosing a system for the first time.

Read

Tom Willoughby joins My Compliance Centre

14 May 2021

Tom Willoughby joins as Business Development Director. He brings a wealth of experience particularly from the hedge fund and investment management sectors.

Read

Selected for PwC Scale | WealthTech programme

22 April 2021

My Compliance Centre is extremely excited to have been selected as one of just nine firms to join PwC's 2021 Scale | WealthTech programme. 

Read

My Compliance Centre launches

24 November 2020

My Compliance Centre is a compliance management platform with a wide array of functions closely mirroring the activities of a compliance department

Read

Winner, Best Compliance Management System 2022

There's a better way

Modernise your compliance management with a single, shared and integrated cloud-based solution. Specifically designed for firms that offer regulated financial services and in sectors that include Asset Management, Banking, Capital Markets, Consumer Credit, Corporate Finance, Fintech, Insurance, Investment Management, Payment Services, Private Equity, Venture Capital and Wealth Management.

Enhanced governance

Stronger governance

Complete transparency and visibility of your compliance management, enhancing the ways in which you think about, identify, and manage your regulatory risk.

EVIDENCE COMPLIANCE

Evidences your compliance

My Compliance Centre offers a complete audit trail so that you can easily evidence your compliance to your board and, if they were to ask, the regulators.

achieve more

Increases confidence

Get a bird's eye view or drill down into the detail. With this information at your fingertips, you can be confident that you are on top of everything.

REDUCES RISK

Reduces compliance risk

Ensures your compliance framework keeps pace with regulatory developments. Gives you visibility of all scheduled and ad-hoc tasks and remedial activities.

Single source

Single source of truth

One integrated platform so you can be sure to find the information you need, when you need it, without any fuss or version control confusion.

Take a look at My Compliance Centre

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