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
Suite of Regulatory Document Templates
Weekly Compliance Bulletin
Monthly Compliance Coffee Break Call
CORE
from
£225
PER MONTH
Half-yearly On-site Compliance Support Visits
Compliance Support Helpdesk
Suite of Regulatory Document Templates
Dedicated Consultant
Weekly Compliance Bulletin
Monthly Compliance Coffee Break Call
ENHANCED
from
£365
PER MONTH
Quarterly On-site Compliance Support Visits
Suite of Regulatory Document Templates
Compliance Support Helpdesk
Dedicated Consultant
Annual Compliance Report
Review of Financial Promotions and Disclosure Documents
Weekly Compliance Bulletin
Additional support days can be purchased
Monthly Compliance Coffee Break Call
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