Take The Test & Discover Your Compliance Status Today

Take the test is just one of the ways we can help you identify your compliance needs.
Take The Test & Discover Your Compliance Status Today

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Phillip: so there are various ways we can identify risk for prospective new clients. We take again, a very consultative approach and it's important we get to know our clients' businesses, what their business strategy is and what the key concerns are that they have. I mean typically when clients approach us Tim, how do they usually identify risk?

Tim: okay well fundamentally there's three approaches. One of the approaches we take is a full audit where we initiate things by carrying out a website audit to make sure how they are presenting themselves online is appropriate.

We then dig a lot deeper looking at policies, procedures and structure that sits behind it, that enables us to have a full comprehensive overview of how they live, eat and breath compliance within their business.
but I know recently you spent a bit of time looking at a take the test in an online solution for our clients?

Phillip: yeah I mean it's quite innovative. We've developed this take the test to an online solution and what that is, is it allows our clients, or prospective new clients to quickly identify the key regulatory requirements and measure risk in a really succinct fashion.

This allows them then quickly, to understand where the gaps in their skill may be and what the key needs may be as well, and whether or not they want to explore further, so we'd invite anybody to take the test.

But often our clients just want a view don't they Tim, so when the come to us, they just ask for some advice? I mean how does that often happen?

Tim: so yeah that probably explains the third approach, more of a hybrid of the two I suppose. We get involved in a very informal conversation with our clients where they explain they products, channels and services and ultimately their business strategy.

We can quickly identify where we see risk in the business and what needs to change. Fundamentally, treating customers fairly underpins everything that we do and how they present themselves to their customers and that's where we can help.
 

How we can help your business

Use our experience and expertise in retail compliance to help you meet your business goals and remain compliant with ever changing FCA regulations

Become an appointed representative

As an Appointed Representative you don't need to report data to the FCA or pay FCA fees and we take responsibility for your compliance

  • We fully audit the compliance of your business
  • You operate under our permissions and we report to the FCA on your behalf
  • We work with you to put all practices and processes in place
  • We mystery shop your business to ensure compliance
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Let us help you become directly approved

Being directly approved by the FCA is a popular choice amongst our customers giving them full control but having the security of our support

  • We support you all of the way through the approval process
  • We audit and mystery shop your business to ensure you remain compliant
  • You have access to our expertise and experience at all times
  • You have full control of your approach to compliance
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We can help you through the approval process

Being directly approved by the FCA is a popular choice amongst our customers giving them full control but having the security of our support

  • We have been through the FCA the approval process hundreds of times
  • You use our expertise and experience to guide you through the process
  • You have access to our other consultancy services should you require them
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Compliance consultancy and training

Use our experience, expertise and tools to check how compliant your business is or to address any training needs

  • We can do a full complaince audit of your business
  • We can mystery shop your business to ensure you remain compliant
  • Use our online training system to keep your workforce compliant and up to date
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