Compliance Support Packages
PLAN
Number
minutes
Price
Price for 1 minute
Price for 1 minute
Price for 1 minute
Price for 1 minute
Price for 1 minute
Price for 1 minute
Price for 1 minute
Price for 1 minute
ESSENTIALS
from
£125
PER MONTH
Compliance Support Helpdesk
Review of Fin Proms and Gabriel Return
Essential Document Library
Weekly Compliance Bulletin
CORE
from
£210
PER MONTH
Half-yearly On-site Compliance Support Visits
Compliance Support Helpdesk
Essential Document Library
Dedicated Consultant
Weekly Compliance Bulletin
ENHANCED
from
£330
PER MONTH
Quarterly On-site Compliance Support Visits
Essential and Premium Document Library
Compliance Support Helpdesk
Dedicated Consultant
Annual Compliance Report
Review of Financial Promotions and Disclosure Documents
Weekly Compliance Bulletin
Additional support days can be purchased for £750 each,
(that's £62.50 month)
SUPPORT VISITS CAN INCLUDE:
- ICAAP / Pillar 3
- Compliance Monitoring
- Risk Framework
- Compliance Health Check
- Past business reviews
- Review of procedures, senior management arrangements, systems & controls
- Cyber Security advice
- Due diligence: platform, service providers or purchase of businesses
- Project planning & Support (GDPR, MiFID, SM&CR)
- Financial Promotion Reviews
- Policy & Process Writing
- File Reviews
- Compliance training & testing
- Assessment of T&C scheme/working arrangements and support
- Implementation of complete annual compliance monitoring and activity plan delivering real time MI
- All prices are +VAT at the current rate of 20%
- Minimum term for monthly retainer service is 12 months
OTHER SERVICES ON A PAYG BASIS:
- Regulatory applications
- Complaint handling