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FCA Governance Reviews: Your Ultimate Guide to Regulatory Success in the UK

FCA Governance Reviews

FCA Governance ReviewsWe understand the challenges you face as a Compliance Director, ensuring your business adheres to the ever-evolving FCA regulations while maintaining efficiency. Governance Reviews are a major part of this puzzle.

Although small, none of my Consultants have less than 5 years experience in Senior Management positions and are all qualified to at least QCF Level 4; most of them level 6+.

We have all dealt with the regulator through fair weather and foul, often from a challenged position and had to provide satisfactory remedial services for our clients.

That’s why we are excited to introduce our FCA Governance Review services tailored to professionals like you.

Our Bronze, Silver, Gold, and Platinum service tiers are designed to meet your specific needs:

Governance Reviews : Bronze Plan – from £300

We start by reviewing the governance you currently use in your firm. Our experts compile a comprehensive report outlining the varying governance requirements specific to your business. With this report in hand, you have the flexibility to:

1. Assess the need for new documents and create them internally.
2. Request a quote from us to create the necessary documents on your behalf.

Governance Reviews: Silver Plan – from £3,000

FCA Governance Reviews

Building on the Bronze plan, our Silver tier takes a deeper dive. We review specific areas of governance such as AML, TCF, T&C, Consumer Duty, Conduct Risk, and more. We identify anomalies, errors, or inconsistencies in your original documents, addressing broken or inaccurate citations. You’ll receive updated documents with tracked changes throughout, ensuring compliance with precision.

Governance Reviews : Gold Plan – from £5,000

The Gold tier extends the project further. We cover all aspects of your governance, including TOR, logs/registers, policies, and procedures. Just like in the Silver plan, you receive updated documents with tracked changes accepted. Additionally, we offer secure storage of master copies in case of loss or corruption.

!!!Gold Bonuses!!!

You will automatically qualify for two bonuses.

  1. Access to our Regulatory Update Service – providing you with the heads up on regulatory changes

  2. Access to a retainer “Ask us anytime” service, answering your questions on demand.

Governance Reviews : Platinum Plan – To Be Advised

Our Platinum Service is the pinnacle of comprehensive governance support. This can be ‘Self-Managed’ or ‘Done For You’. It includes access to our Secure Document Portal which can act as ‘Your Intranet’ solution, and double as a compliance management solution.

It offers:

  • A central dashboard for managing your Governance Risk and Compliance Programme.
  • 90, 60, 30, 7 day alert reminder service. Overdue up to 7 days and overdue 7+ days alert.
  • Scalability with as many users as you need at no extra cost.
  • Audit user access for third-party investigations.
  • Military-grade encryption for document security.
  • The ability to share documents securely with clients and third parties.
  • Advanced document tagging, version control, and compliance management tools.
  • User Activity Logs, support, and assistance based in the UK.
  • Enterprise-level features for larger clients, including global document tagging and branding.

We are here to make your compliance journey seamless and efficient, offering you the tools and expertise you need to excel. Feel free to reach out to discuss how our services can be tailored to your specific requirements. Arrange a no-obligation exploratory call HERE!

Sincerely
The ‘Compliance Doctor’

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