Wealth Management
Wealth Managers have a broad range of compliance obligations. My Compliance Centre provides support across all of these.
While Wealth Manager business models vary significantly, the regulatory pressure of being regulated by the FCA are consistent across all.
My Compliance Centre’s wide ranging features provide unique compliance support for Wealth Managers.
For example, our FileChecker module offers unparalleled control and measurement over the file review process. Unlimited risk based compliance monitoring plans can be setup to focus on specific areas of focus across compliance, risk and internal audit.
Breaches and incidents can be recorded, categorised and actioned to demonstrate to all stakeholders the compliance culture in place.
Financial Promotions are tightly controlled through a configurable authorisation process Regulatory Changes can be tracked and actioned and, of critical importance, governance across the entire committee structure can be enhanced using the Boards and Committees module.
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