Compliance Support Packages

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

£150

PER MONTH

Compliance Support Helpdesk

Review of Reg-Data Returns

Suite of Regulatory Document Templates

Weekly Compliance Bulletin

Monthly Compliance Coffee Break Call

CORE

from

£300

PER MONTH

Annual Compliance Health Check and Risk Report

Compliance Support Helpdesk

Suite of Regulatory Document Templates

Review of Reg-Data Returns

Weekly Compliance Bulletin

Monthly Compliance Coffee Break Call

ENHANCED

from

£450

PER MONTH

4 days (28 hours) compliance support

Suite of Regulatory Document Templates

Compliance Support Helpdesk

Dedicated Consultant

Review of Reg-Data Returns

Weekly Compliance Bulletin

Additional support days can be purchased

Monthly Compliance Coffee Break Call

SUPPORT VISITS CAN INCLUDE:

  • IFPR / ICARA
  • 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

If none of these packages suits your requirements, please get in touch for a bespoke package to meet your needs.
Call B-Compliant today on 0161 521 8641 or email us here.

Alternatively, take a look at our partnership package page