The dart difference...

dart's Compliance service is not one of mere exceptions reporting, but of working hand-in-hand with the broker to ensure that appropriate systems are in place, being utilised, and are properly recorded.


From an initial ‘healthcheck’ review, using our unique ‘REaCH’ system, we assist the firm in implementing appropriate systems and controls to meet its regulatory and operational requirements, and then provide regular reviews covering and documenting the actual controls and procedures in place.


This means that the broker's compliance manual really reflects the practices in use in the business  and the broker only has to operate the agreed procedures, not spend time devising or writing them down.


'Regular Reviews'


Periodic reviews, covering the firm’s allocation of responsibilities to senior management; the systems, controls & corporate governance arrangements in place in the business; the firm’s procedures, standards and measurement for achieving the Consumer Duty Outcomes; arrangements for demonstrating training & competency; and Business Continuity provisions are carried out on an annual basis 


'Scheduled, Monitored and Re-visited'


and these reviews are linked with a quarterly ‘dashboard’, to ensure that risk assessments, MI and monitoring activity are taking place and remain current, as well as providing a scheduled programme of activity and re-visiting ongoing changes.