Compliance Assist!

Compliance Assist! provides all the benefits of Compliance Watch!® but is tailored to the needs of a firm with its own Compliance function. The value of Compliance Assist! is to offer an external review with a degree of objectivity that is difficult to achieve when systems are developed internally. It covers the following based on an annual fee of £4,286 plus VAT:

  1. E-mail and telephone support for compliance queries which arise from your day to day operations.
  2. Periodic regulatory briefings and regulatory alerts.
  3. A revised Risk Based Compliance Monitoring Programme and Compliance Manual, updated in line with changes in the regulations, and other template updates as necessary.
  4. An annual on-site compliance health-check, which will incorporate training required by regulations for all staff on Anti Money Laundering and Market Abuse.
Compliance Assist!