AUTHORISATIONS

EASY DOES IT

Our Monitoring Options

We're about one thing only - making life easier for compliance officers.

Compliance monitoring is a pre-requisite of FCA authorised status. You must be able to demonstrate that you're in control of your firm, and that weaknesses and deficiencies have been dealt with quickly, fairly and efficiently to prevent them happening again.

Our  monitoring programmes are written and kept up to date 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 regulatory experience at the coalface - as a compliance officer, consultant and investigator. So our programmes are very much tried and tested.

Training in their use can be provided by specialist trainer Bruce Walker.

The programmes are maintained quarterly to reflect FCA Handbook rule changes, and a subscription gives you a fresh version each quarter for a year. At the end of that year, we'll send you an invitation to re-subscribe for the following year. 

 

If you prefer to have monitoring done externally, we have an affiliate ready and waiting for your call.

Keep it simple and relax!

Compliance Wizard Limited SC218735. Registered Office 22 Stafford Street, Edinburgh EH3 7BD, UK.

Phone 07710 444 670

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