Monitoring
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 were originally developed 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.
The programs are available in three versions based on your own business with testing conducted by your own compliance department or whether you wish for testing to be carried out externally (i.e. by NRS). Some firms have a hybrid approach with external verification of internal testing (check the checker).
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.