Consumer Duty

The FCA’s Consumer Duty Regulation puts unprecedented pressure on regulated firms and their compliance departments. 

Gaining control, and being able to evidence that control, has never been more important.   

Read more about the FCA, Consumer Duty and Compliance Management Systems here


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Financial Promotions

  • Maintain a tight control of Financial Promotions.
  • Streamline the approvals process, configure different approval templates for each product. 
  • Set an expiry date for each Financial Promotion and demonstrate full control over a critical aspect of your consumer facing compliance. 

More about Financial Promotions here


  • Implement a structured and controlled review process of client sales.
  • Define your own file review structure, scoring and weighting.
  • Review advice given and policies adhered to and demonstrate your internal culture of taking corrective action for any failures. 
  • Manage Quality Assurance and access key MI any time. 

More about FileChecker here


  • Take control with our simple to use application that reduces the cost and administrative burden of managing your obligations under the Senior Managers and Certification Regime (SM&CR).
  • Automated workflow processes keep you on track and identifies gaps in your compliance.
  • Get the documents you need from responsibilities maps to certificates and regulatory reference information.
  • Use the interactive dashboards to see your status and produce reports.

More about SMCR here

Take a look at My Compliance Centre

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