Markets

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

All three markets have one thing in common – the FCA’s stated objective to enforce a move away from a tick box approach to a more pre-emptive competence and conduct supervision model. Firms must demonstrate a culturally-embedded top-down commitment to a compliance-based culture.

Investment in a system that drives and records this efficiently is both essential to delivery of FCA standards and a demonstration of the firm’s commitment to the process. We have three distinct markets:

 

Retail Financial Services and Wealth Management (RDR)

Governed by RDR with strict CPD requirements for which the new R-A-G module is specifically designed.

 

 

Wholesale Investment and Banking Services

Investment banks and asset managers governed by best practice guidelines and Remuneration Code but also by much greater scrutiny of SIF’s, market and TCF conduct and a firm’s commitment to them.

 

 

Insurance

Lloyds and London markets insurers and Intermediaries, ensuring compliance with T&C, Conduct and TCF requirements of the FCA’s new supervisory approach.

 

From only £800 per month