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