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Our Services
The ideal way of managing compliance of financial promotions, requires 6 key elements to be in place.​​
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The Compliance Advisor system delivers two of those key elements:
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No. 1 ... Standardised rules and wording
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No. 3 ... Compliance guidance, rules and wording
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We estimate that together, these 2 elements typically provide more than 60% of the business benefits.​
We want our clients to achieve 100% of the benefits and we can also help with the other 4 elements.
See below for the range of specialist services that we and our partners are able to provide.
Early Stage or "In Flight" Assessment
The following services are relevant for you if you are:
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In the early stages of assessing the potential to improve the way that compliance of financial promotions is managed
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Part way along your journey and want to make sure that you are going to get the results you want
Services re Rule Management & Operating Model
Achieving a way of working that is 100% optimal, will require many different elements to be in place and for those elements to be aligned and integrated.
The elements are normally defined as part of an "operating model" and can cover many different things such as:​
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Rules and wording that everyone understand and uses
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Processes, procedures and SLAs
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Roles and responsibilities
Having a well designed operating model is very important.
Services re Compliance Technology
Having the right compliance technology is critical to achieving an effective and efficient way of managing compliance of financial promotions.
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Our Compliance Advisor system delivers 2 of the key elements ... numbers 1 and 3.
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The services below, are designed to help you with any of the other technology related elements:
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​No. 4 - Work management system
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No. 5 - Compliance checking system
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No. 6 - Asset Storage & Management system
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