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A comprehensive risk-based monitoring programme will provide the evidence that your firm’s procedures are functioning effectively – evidence that you (and FCA) want to see.

Fulcrum Compliance can assist in the planning, execution, documentation and reporting of the monitoring, working on a timetabled frequency to suit your business risk and requirements.

Fulcrum Compliance can undertake themed reviews on specific areas of interest for you.

These might include recruitment procedures, client take-on, financial promotions, senior management controls, governance arrangements and reviews of your compliance arrangements.

Compliance Department Reviews – British Standard 8453: Compliance Framework for Financial Services Firms

Fulcrum Compliance has completed successful reviews of compliance department procedures and practices. Examples of our previous work includes reporting on the preparation and execution of monitoring programmes.

Julian Sampson served as a member of the steering committee that wrote BSI 8453. This voluntary standard, which has been welcomed by the FCA, provides a guideline framework for all compliance departments. Fulcrum Compliance are therefore well placed to assist firms in benchmarking their own practice against this standard.

Be they short or long, regulatory visits are increasingly intrusive. During the visit it is essential that you give the FCA the clearest view of the strength of compliance and other procedures. Working with you before, during and after the visit, Fulcrum Compliance can assist in making the visit go smoothly.

Dealing with the FCA on an ongoing basis can seem daunting. There is a wide variety of forms to complete and important notifications to be made. These can be both routine (such as when you take on new regulated staff) and non-routine (when you change your business model). Fulcrum Compliance can advise you on the key information requirements and assist in completing the forms.

Your Compliance Manual should describe your key business processes at a level of detail that is appropriate for your firm, so that it is genuinely useful. Fulcrum Compliance can assist in writing your Manual so that it gives insight into your business, making it a useful document for you and your external stakeholders.

Fulcrum Compliance provides a variety of training solutions for your business, including new joiner induction, 6 monthly updates and anti-money laundering. We can also advise on training & competence schemes to allow your staff to show their ongoing fitness and propriety.

Fulcrum Compliance have extensive experience of successful applications to the FCA for authorisation. We can assist in all stages of the process, including application completion, supporting documentation, and liaison with FCA.

Fulcrum Compliance can advise you on systems and controls for Training Schemes, Recruitment Process and Appraisal.

More balance. Less risk.