Having offered a compliance monitoring service since our launch in 2004, we have established a successful track record over the years for improving the compliance status of our clients.
Registered with the Financial Services Board (FSB) as a compliance provider, we can be appointed as an external compliance officer. All our compliance officers are well trained and regularly write rigorous internal tests so our clients can be sure they are always in good hands.
Our compliance monitoring service for independent financial advisors includes a dedicated compliance officer who:
Further consultation and support which is available on request include:
FSPs with an internal compliance function can tap into our expertise and get an independent assessment of how effectively their internal compliance processes have addressed the compliance risks in their FSP. This service provides additional peace of mind.