A General Compliance Resource

Whatever your compliance needs from periodic file checks through to one or more days per week on-site work, CEI is flexible enough to adapt to YOUR NEEDS!

Every project, job or even a one-day appraisal is conducted by the Managing Director/Senior Consultant. Whilst other consultants may be used for the larger jobs, CEI will always gain the client's approval and the rates will be reflected for less experienced/qualified consultants. Download our brochure here

If you require details on S166 Reports and a costs guideline, please click here

Most companies will address the issue that the client thinks they want, whilst CEI "Always Adds Value" by looking at the holistic problem and will provide pratical recommendation and help to address, or progress the key issues.

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Some Services we Offer ...

Full Compliance Health-check comprising 2 days on—site covering 21 areas;

  • Governance & Strategy (4)
  • General Compliance (4)
  • Personnel Matters (2)
  • Customers (8)
  • Capital Resources and Financial Management (3)
  • Written report and recommendations
  • Assessment of Compliance Manual & recommendations/new manual

Mini Compliance Health-Check comprising High Level assessment 1 day on—site covering;

  • Governance & Strategy - structure, risk management, approved persons, permissions)
  • Compliance (Compliance Manual content & application, Complaints,Financial Promotions etc)
  • Assessment of Compliance Manual scope & TCF program

Verbal debriefing only at end of day with areas confirmed by email.

Risk & Controls Management Framework assessment

  • Internal Audit Reports
  • External Audit Reports
  • Risk Register & Audit Committee input/reports
  • Risk Appetite
  • SOD/Access/Authority Matrix

Governance

  • Business Strategy/Vision
  • Board & Input (Enterprise Risk Profiling) — Audit, Risk, Investment, Nomination & Remuneration committees etc., Terms of Reference Checks
  • Policy checks — Current, Appropriate, Relevant (can include AML & BCP)
  • FSA Contact/Correspondence/Breaches
  • Approved Persons/onboarding/HR
  • Operational Risk Management
  • Outsourcing arrangements
  • Business Continuity & IT

Sales Process Appraisal

  • Point of sale paperwork and disclosure documentation.
  • Quality Assurance Checks and remedial actions
  • Complaints Process
  • TCF

Training Assessment

  • Staff Training
  • Business Continuity Training/Testing
  • Senior Management Training/CPD (CF1 — 11)
  • Training for Customer Facing Staff (CF30)
  • PAD/G&E Log

Compliance Manual

  • Contents
  • General Applicability

Anti Money Laundering & Counter Terrorist Financing Policy

  • Contents
  • General applicability

Bespoke Packages or Projects — on request

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But thats not all .......

Don't forget, Compliance Consultants can provide a whole range of services. Some of the more common services include:

  • Initial risk assessment or audit — an initial analysis to identify higher risk areas of the business and weaknesses in procedures.
  • Business development — business analysis advice or advice on particular issues — for example, how your firm is Treating Customers Fairly and an action plan for implementing TCF across your business.
  • Help with setting up procedures — for example procedural manuals for recruitment, training and competence, complaints handling and anti-money laundering. May also include templates for disclosure documents, fact-finds and registers.
  • File audits — checks to ensure that procedures are being followed and identify good practices and weaknesses.
  • Technical support — may include advice on particular products or regulatory reporting. May be available in various formats, including website, helpdesk and individual technical advice.
  • Training — for example competency assessments, training opportunities or product risk guidance. May be online support, regulatory updates or seminar based.
  • Support on individual issues — for example in dealing with a complaint, a financial promotion or a particular suitability letter.
  • Financial promotions (all areas of advertisement) - full support which would include websites, brochures, DVDs, email templates, client mail shots, adverts, contacting existing clients and so on.
  • Remedial work — helping to action remedial work required by the FSA.
  • Ensuring you are aware of Handbook changes and the specific impact on your business.
  • Your responsibilities and liabilities under SYSC and the recent changes.

If you have any query at all, Email us at CEI Compliance NOW!