T&C and HR compliance for FCA regulated firms


Complete peace of mind. A solution to all your requirements under the regime –
Assessment, Recording and Monitoring.

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Online assessment and management software delivering 360° appraisals, real-time benchmarking, etc.

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Defining your T&C needs

Developing, implementing T&C/Conduct processes and controls to meet key demands of FCA

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Designing your Programme

Building competency sets, compliance processes, core business / personal objectives, KPI’s and CPD processes

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Training and CPD Management

Building training plans, delivering and monitoring CPD and training needs, flagging problems and shortfalls

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Managing all your assessment,
T&C and CPD needs for a fixed low annual subscription

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Monthly offer

Latest Tweets

Global regulatory body to launch fresh probe into ETFs ow.ly/1U3i30gZvNu #EFT

About 3 months ago from Neil Herbert's Twitter via Hootsuite

"HRComplySoft has been a great success with staff – encouraging their participation in the T&C Management process."

Simon Woolton, Chief Operating Officer, Quayle Munro Limited

We work in three markets

Our software, support and consulting services are designed to support the differing regulatory needs of the retail, non-retail and insurance markets.

Retail Financial Services and Wealth Management (RDR)

Wealth Management, Private Banking, Product Providers, IFAs

Wholesale Investment and Banking Services

Investment Banks, Corporate Advisory, Asset Managers, Hedge Funds

Commercial and Retail Insurance

Carriers and


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