EASY DOES IT
ComplianceWizard is about one thing only - making life easier for compliance officers.
We are wholly owned by award-winning compliance specialist Gordon McMurray, founder of NRS Regulatory Services Ltd (which traded as National Regulatory Services in the UK). He has over 30 years of international regulatory experience at the coalface - as a compliance officer, consultant and investigator. So the methods we use are very much tried and tested.
It dawned on us that many of the clients we got FCA authorised at NRS were growing more mature and some were ready to move to the next stage either in the growth of their business or in taking compliance work back in-house. To help clients make this jump, we decided to make available online the very documents used by the professional compliance consultants at NRS.
We've seen many changes in the regulatory world over the years. We continue to be faced with ever-developing rules based on common themes - protecting client assets, treating customers fairly, being clear and transparent on fees and charges and the like. More is coming with the fallout from Brexit.
At ComplianceWizard, we keep on top of it all. So instead of fretting, just buy your MiFID II and SMCR compliant manual and monitoring programme here and now. Training in their use can be provided by specialist trainer Bruce Walker. We can also guide you through your new firm authorisation, or variations to add new permissions.
Keep it simple and relax!