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Application
for Authorisation
Our Application for Authorisation service covers all categories
of intermediary including investment firms, professional firms,
investment management firms, insurance intermediaries, mortgage
intermediaries and credit intermediaries. Our service concentrates
on ensuring the application is accurate and detailed as required
by the Financial Regulator.
Compliance
Process Assessment
Our risk based process assessments are probably the most comprehensive
of any in the industry and have been likened to a ‘Health
Check’. On completion the client firm receives a report
with detailed recommendations on how to address issues that
require attention following this assessment. Many firms use
this service as a component of their annual compliance programme.
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File
Review Service
The best method for any business owner or Compliance Officer
to get a measure of its “Compliance Health” is
to conduct a file review of client files on a random sample
basis. A comprehensive findings report and Follow-up Action
plan is produced as part of this service.
Procedures
Manual
A regulated firm is required to have a procedures manual specific
to its activities. FBS Compliance will work with the firm
to ensure that a tailor made document is produced which meets
the Financial Regulator’s requirements and provides
real guidance to staff.
Regulatory
Representation
FBS Compliance provides a representation service on behalf
of clients to the Financial Regulator on specific issues.
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Due
Diligence Reviews
During an acquiring transaction we can form part of the firm's
Due Diligence Team, complementing the work undertaken by lawyers
and accountants, but concentrating on the suitability of advice
given by the target firm and assessing the potential regulatory
problem areas that may arise if the business is acquired.
Compliance
Document Library
FBS Compliance holds a large catalogue of documents related
to training, money laundering, complaints policies, Terms
of Business and much more.
Training
Programmes
FBS Compliance offers training programmes on key regulatory
issues such as Money Laundering Awareness, Data Protection,
Complaints Handling etc.
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