Ultimate Guide To Regulatory Success In The UK: FCA Governance Reviews


INSIGHT
Published
Jan 1st '24
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We understand the challenges you face as a compliance director, ensuring your business adheres to the ever-evolving Financial Conduct Authority (FCA) regulations while maintaining efficiency.

 

We have all dealt with the regulator through fair weather and foul, often from a challenged position and had to provide satisfactory remedial services for our clients.

 

That’s why we are excited to introduce our FCA governance review services tailored to professionals like you.

 

Our bronze, silver, gold, and platinum service tiers are designed to meet your specific needs:

 

Governance reviews : bronze plan – from £380

We start by reviewing the governance you currently use in your firm. Our experts compile a comprehensive report outlining the varying governance requirements specific to your business. With this report in hand, you have the flexibility to:

 

  1. Assess the need for new documents and create them internally.
  2. Request a quote from us to create the necessary documents on your behalf.

 

Governance reviews: silver plan – from £3,200

Building on the bronze plan, our silver tier takes a deeper dive. We review specific areas of governance such as aml, tcf, t&c, consumer duty, conduct risk, and more. We identify anomalies, errors, or inconsistencies in your original documents, addressing broken or inaccurate citations. You’ll receive updated documents with tracked changes throughout, ensuring compliance with precision.

 

Governance reviews : gold plan – from £5,400

The gold tier extends the project further. We cover all aspects of your governance, including tor, logs/registers, policies, and procedures. Just like in the silver plan, you receive updated documents with tracked changes accepted. Additionally, we offer secure storage of master copies in case of loss or corruption.

 

Governance reviews : platinum plan – to be advised

Our platinum service is the pinnacle of comprehensive governance support. This can be ‘self-managed’ or ‘done for you’. It includes access to our secure document portal which can act as ‘your intranet’ solution, and double as a compliance management solution.

 

It offers:

  • a central dashboard for managing your governance risk and compliance programme.
  • scalability with as many users as you need at no extra cost.
  • audit user access for third-party investigations.
  • military-grade encryption for document security.
  • the ability to share documents securely with clients and third parties.
  • advanced document tagging, version control, and compliance management tools.
  • user activity logs, support, and assistance based in the uk.
  • enterprise-level features for larger clients, including global document tagging and branding.

 

We are here to make your compliance journey seamless and efficient, offering you the tools and expertise you need to excel. Feel free to reach out to discuss how our services can be tailored to your specific requirements. Arrange a no-obligation exploratory call!

 

If you need any assistance, in strictest confidence,

call us today on

020 8087 2377 

or email us.

 

Contact us

 

About us

LS Consultancy are experts in Compliance, and work with a range of firms to help mitigate risk.

 

We also provide a cost-effective and timely bespoke copy advice and copy development services to make sure all your advertising and campaigns are compliant, clear and suitable for their purpose.

 

Our range of innovative solutions can be tailored to suit your unique requirements, no matter whether you’re currently working from home, or are continuing to go into the office. Our services can be deployed individually or combined to form a broader solution to release your energies and focus on your clients.

 

Contact us today for a chat or send us an email to find out how we can support you in meeting your current and future challenges with confidence.

 

Explore our full range today.

 

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