SM&CR and Supervision Review
The Senior Managers and Certification Regime, under which responsibilities and accountability are allocated to key individuals in your business came into force on 9th December 2019 and this half-day review provides an external view of your SM&CR arrangements, regulatory competencies, statements of responsibility, the policies & procedures around supervision of the regime and practical examples of how the Code of Conduct affects your business and personnel, including the 'reasonable steps' firms need to take in embedding the regime.
only £450 plus vat
 | dCL Compliance Healthcheck Using our unique REaCH* system one of our experienced consultants will come to your office to complete a thorough regulatory review of your business, from checking you have the correct permissions, a review of your systems and controls, client money and regulatory capital, through to an evaluation of your sales and advice procedures. You will be provided with a comprehensive report, indicating the RAG status in each section and prioritising the actions needed to improve your status. only £750 plus vat * REaCH - Regulatory Evaluation and Compliance Healthcheck system which automatically 'scores' firms' compliance arrangements and indicates the impact of answers given. |
Appointed Representatives: Supervision and Governance With new rules effective from December 2022, FCA retains a focus for GI Principal firms around the systems, controls and governance of Appointed Representatives and our AR Supervision Healthcheck has been designed to evaluate your pre-appointment Due-Diligence, AR contracts and Governance arrangements. The half-day visit will result in a RAG status report and action plan covering these issues as well as the Business Controls, Monitoring and operational procedures affecting Customer outcomes only £750 plus vat |  |
REaCH RPR - Regulatory Process Review If you're happy with your High Level procedures, but want an assessment of your operational IDD and Consumer Duty compliance processes then this report could be what you're looking for. Covering day-to-day ICOBS processes (New Sales, Renewals), Client Money arrangements and calculation, correctly completing the RMAR return, monitoring and file reviews, as well as your Financial Promotions procedure and website review. Following a half-day in your office you'll receive a RAG status report of all of these areas with suggested changes and example templates. only £750 plus vat |
Client Money Review
Adequate systems for the protection of Client Money remain a high priority with the FCA and this specialist review will examine the firm's systems and methodology for meeting the CASS 5 Rules in detail, as well as the firm's operational practices in this area and its arrangements to prevent Financial Crime, including anti money-laundering, anti-bribery, HMT sanctions and internal audit.
Only £1,250 plus vat
dart Compliance Ltd is a member of the Association of Professional Compliance Consultants