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Capital Markets

My Compliance Centre supports the wide range of compliance activities carried out by firms in the Capital Markets sector.  This includes Compliance Monitoring, Personal Account (PA) Dealing and Employee Attestations. 

Capital Markets firms continue to face unprecedented regulatory pressure. The FCA has made it clear that it expects Capital Markets firms to demonstrate robust SMCR and governance controls to sit alongside traditional compliance controls such as compliance monitoring and employee compliance. Internal compliance teams have a wide range of responsibilities to deliver a comprehensive compliance framework as expected by their boards.

My Compliance Centre supports these activities in numerous different ways.

Employee Compliance

Our Employee Compliance Solution aligns all your compliance requirements into an automated system, saving time and is simple to implement.

Compliance Operations

My Compliance Centre supports the core compliance operations carried out by Compliance teams on a daily basis.


My Compliance Centre integrates your Governance, SMCR and Compliance frameworks in a single integrated system.

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