UK compliance monitoring
Every regulated entity is required by the FCA to ensure that a compliance monitoring programme is in place.
As part of our ongoing compliance support, our UK team will prepare a compliance monitoring programme specific to your business and regulatory permissions, delivering assurance to your senior management on a quarterly basis.
We will prepare a report of the compliance monitoring outcomes, along with recommendations to resolve any identified matters.
How our FCA compliance monitoring programme works
We typically host and deliver the compliance monitoring programme using our CORE RegTech system, giving you full transparency and oversight of the whole process. All remedial actions will be recorded, escalated and tracked using CORE. We also provide compliance monitoring services outside of our CORE RegTech system.
If you would like to discuss your requirements further, please get in touch.