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: