At Ecompli we offer Financial Conduct Authority (FCA) compliance support solutions to provide peace of mind so that you can concentrate and focus on what really matters – providing a great service to your clients. We provide you with FCA compliance manuals and templates, newsletters keeping you updated on legislation & document changes and access to our Helpdesk.
When choosing a Support Service you need to be sure you get value for money, individual service, and full attention at all times. Therefore we have designed unique packages, based on our vast compliance experience, which cater for General Insurance Brokers, Mortgage Brokers, Equity Release Firms and Insurance Claim Handling Firms (Loss Assessors) firms, whatever the size.
Please note we only provide our services to firms within the United Kingdom who are, or who wish to be, authorised and regulated by the Financial Conduct Authority (FCA).
We are flexible with our Compliance Visits and can tailor them to suit your needs. When supporting a firm for the first time we often suggest completing a Systems and Controls Assessment. This includes reviewing all the firms compliance procedures so that you have a good understanding of what is currently in place and what needs changing or updating. We will also produce a full detailed report so that you have a record for your file.
As mentioned though, we are flexible and can carry out a variety of different types of compliance visits covering:
- Senior Managers & Certification Regime
- TCF Evaluation
- GAP Analysis
- Systems and Controls Assessment
- TCF Management Information Assistance and Implementation
- RMAR / GABRIEL Completion Assistance
- FCA Reporting including changing standing data
- Business Monitoring/File Reviews
- Compliance Manuals tailored to your firm
- Training & Competence Support including in-house training on various subjects
- Compliance Inspection in preparation for an FCA Visit / Accompany FCA Visit to provide support and guidance
Please note the Compliance Visits listed above are just an example of what you can choose from. Each visit will normally consist of one of the above areas, however if you have any other areas you would like to discuss we will always try our best to cover it.
It’s important to remind you that you cannot outsource your compliance responsibility and the compliance oversight remains with you.