Compliance Services

It is the responsibility of the principal firm to ensure that all the regulatory activities are completed compliantly. The regulator (FCA) need to know how the firm is run, how clients best interests are at the heart of your business and how you run the business compliantly. To facilitate all of these requirements in an empathic and cost-effective manner. Broadgate will offer educational and development modules online for, affected persons who will always be the directors and shareholders of the firm, and for certain educational module is customer facing individuals. These educational modules are supported by a helpdesk which is complimentary to all ARs.

Broadgate will also supply each firm with a compliance manual, and this would include statutory documentation which may need to be you next to provide authoritative information to customers. To assist firms further we will maintain constant communication with firms proactively so that we can answer questions, assist with training and development of new starters and talk through new lines of business which may become available.

Firms will always need assistance with each of the following subjects:

Compliance Monitoring

It is the regulatory responsibility of the principal firm to monitor the behaviour of all appointed representatives to ensure that it complies with regulatory requirements. You will find that Broadgate consortium will telephone you with you to providing assistance and using compliance as your best business facilitation apartment.

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Financial Crime and Market Abuse

All responsible firms will of course wish to comply with anti-money-laundering and terrorist financing legislation and it is very much in your own best interests to comply with these regulations. Broadgate consortium will run a series of educational module is both online and face-to-face. To assist firms to fulfil their responsibilities. Initial training must be followed up by at least an annual refresher and surprisingly the Broadgate anti-money-laundering (AML) will be an entertaining and amusing module.

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Approved Persons

Probably a completely new phrase for firms that are new to authorisation by the sun directors and some customer facing individuals may need to prove that they are fit and proper persons to undertake the work that they do. Almost all firms have already carried out a very similar exercise but in all probability there is no evidence.

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The regulator needs know who owns a controlled the firm to ensure that they are fit and proper persons to do so. This is irrespective of the control of being a net 4 person or company or indeed part of a group.

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Business Development

Broadgate consortium limited engages executives and consultants with a broad range of business experience as well as their compliance knowledge and skills. We all consider compliance to be “the best business facilitation Department” which means quite simply that we are happy to work with you, develop your best business practices to build a solid and profitable bottom line, which cannot be torpedoed by a Regulator chasing poor practices and perhaps referring you to enforcement.

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Treating Customers Fairly

This is an elaboration of principle 6 (one of the principles of business) and this is at the very heart of FCA regulation as they are consumer centric. As a responsible and cultured business. You will of course wish to treat your customers fairly. But this regulator requirements specifically sets out the way in which the regulator will monitor 6 desired outcomes, what you need to do to comply and the way in which this will assist with the development of both legal business and your employees.

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Systems and Control

The regulator requires each firm to evidence the fact that the firm is controlled and run in an organised and disciplined fashion which many firms already comply with, but do not habitually evidence. In regulatory terms “if it hasn’t been evidenced it hasn’t happened.”

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