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Compliance Support

Financial Compliance Support

Braxton´s Compliance Support Service is an ongoing structured program of work which begins with an initial visit to the client to carry out a check on their current systems and controls and documentation. This would be followed by support, monitoring and updating. We also schedule an appropriate number of visits during the year to carry out monitoring and updating.

For the initial monthly fee, we will structure an appropriate level of compliance support to ensure that the client receives the necessary assistance to make sure that their business can reach the relevant financial compliance standards.

In particular, each client receives the following:

  • Allocation of a consultant point of contact together with an administrator for dealing with day to day issues
  • Compliance Procedures
  • Monitoring plan
  • Complaints process
  • Training & competence plan
  • Senior management systems and controls analysis
  • Advertising checking process to include website
  • Monitoring and updating visits to assist with the implementation of procedures, update on new Ffinancial and regulatory requirements and monitor compliance with financial rules

Using our services will secure for you the compliance expertise you may need to apply to your business in order to meet the required financial regulation standards.