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What regulations can the Compliance Checking Service cover?
The Compliance Checking Service can cover any jurisdiction in the world and any regulation in those jurisdictions that relates to financial promotion materials.
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As part of the set-up of the Service, you determine what regulations are to be covered and as part of that, what compliance requirements you want to be checked.
What industries can the Compliance Checking Service cover?
The Compliance Checking Service is designed for the financial services industry. Within financial services, the Service can check financial promotion materials for any sector. For example:
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Investment / asset management
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Wealth management
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Pensions
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Mortgages
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Credit cards
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Loans etc.
What types of checks can be carried out?
There are 2 versions of the Compliance Checking Service - Standard and Advanced.
The Standard Service can carry out more than 200 different types of checks. These include for example, checking:
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If specific words or phrases or statements are included
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If the content requires a disclaimer or warning to be included and if yes, checking if a disclaimer or warning has been included
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If abbreviations have been properly explained
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If any risky words or phrases have been used
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The format of dates
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Spelling
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Grammar
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Readability
The Advanced Service includes all of the checks that are covered in the Standard Service. In addition, this service can check:
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An unlimited number of custom compliance requirements
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Whether wording has been placed in the required location and displayed in the right way
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To find out more about the checks that can be carried out, please contact us.
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Which languages can be checked?
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The Compliance Checking Service can check materials in any language – including languages that use kanji character sets.
What size of organisation can use the Compliance Checking Service?
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The Service can be used by any size of organisation – from small to very large.
What format of financial promotion material can be checked?
The Compliance Checking Service can check documents in multiple formats including PDF, MS Word, MS PowerPoint and Google Docs.
How much does the Compliance Checking Service cost?
The exact fee charged to check financial promotion materials, depends on the following factors:
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Which checking service is used. The Standard Service has a lower fee than the Advanced Service
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The size of the content (number of pages) and the number of different checks to be carried out
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The volume of material that an organisation wants to be checked. We provide volume discounts that mean that the higher the volume, the lower the fee per document.
Once we understand the above, we will provide a customised quote.
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Important.
Our objective is for our services to provide a minimum of a 100% return on investment. That is, for every £100 spent, that there are tangible benefits of more than £200.
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We believe that we will be able to achieve this objective for most types and sizes of financial services organisation.
Can we test the service?
Yes. We can provide you with access to test both the Standard and Advanced services.