Compliance Services
Compliance Services
As our name implies we are used to finding solutions to our client’s compliance problems.
We provide specialist advice, support and many varied compliance services to firms regulated by the FCA or seeking authorisation.
We do not force a one size fits all approach on our clients.
What do we do?
What do we do?
Established for over 19 years, Create Solutions solves problems for our clients and provides friendly, no nonsense support & advice with the aim of helping to prevent problems occurring in the first place.
The regulatory landscape is vast, complex and can be diffiuclt to understand. That’s where we come in and help. We like to keep things simple, break the FCA’s regulatory landscape down & keep our customers updated with what is happening.
We offer a range of specifically designed services from helping new firms with the FCA application process, to health checks, outcomes testing, Appointed Representative auditing, other assurance works, workshops, training as well as on-going compliance support and keeping our clients updated with the latest news.
We work with our clients to provide solutions that are specifically designed to suit them. We personally do not believe in the one size first all or tick box approach.
Many of our clients benefit from our ongoing compliance support, and others engage us to work on specific projects. Our Compliance Stockroom has shelves and shelves of templates, guidance documents, policies, procedures & training/webinar videos.
There are so many to mention; here are just some of the compliance services that we offer:
- Compliance Health Checks & Reviews
- Help with FCA applications, variations and regulatory returns
- Online training – Workout
- One to one or group training courses for Senior Managers & staff
- Board Reviews
- Senior Managers challenge sessions
- Best practice Vulnerable Customers sessions
- Review of Financial Incentives
- Benchmarking against regulatory expectations & requirements
- Regular bulletins with regulatory updates
- Customer Harm Reviews
- Appointed Representatives Audit Work
- Dear CEO Letters; webinars, drop in sessions & best practice sharing to meet regulatory expectations
- Help & guidance if the firm is called upon for an FCA visit on investigation (theme, supervision etc.)
- Training & Competence; introductory & review work
- Risk Management Framework; introductory & review work
- Conflicts of Interest; training & review work
- Code of Conduct; training & review work
- Independent advice and opinion on complaints
- Access to our Compliance Stockroom; policy, procedure & other business documents,forms, guidance, webinars and templates
- Business Improvement
- Outcomes Testing & Benchmarking
- Customer Journey Reviews
- File Checks & Call Monitoring Services
- Product Governance reviews
- Vulnerable Customers business & process review
- Monthly client FCA radar updates on the “hot topics” in FCA regulation currently
We have used the services of Create Solutions for a number of years, and the team are always on hand to provide the necessary guidance, whether in relation to minor day to day queries, changes to our business which require notification to the regulator, or adapting our business to accommodate the significant regulatory changes which have impacted on us over the past couple of years. The ongoing programme of training/workshops provide further invaluable support for the business and our staff
Over the last 10 years, Mike Cranny and the team at Create Solutions have provided an invaluable service on a wide range of compliance issues which we face in our day to day business operations. With so many legislative changes taking shape in the wider UK insurance market, I would recommend anyone who is in need of guidance to seek out their advice.
Create Solutions are our constant in the ever changing world of FCA regulation. Fifteen years ago, they took the time to understand our business to enable them to provide the practical and proportionate solutions we needed to ensure our compliance and they have continued to deliver all our compliance needs ever since. Their patience, professionalism and knowledge is all delivered with genuine friendliness and enthusiasm. They make the world of compliance less painful and remain a pleasure to deal with.
We have been using Create Solutions for several years and find the services they are offer are invaluable to our busy brokerage. The Workout modules 1 & 2 tick all the boxes for staff training, not to mention helping towards CPD. With the changes in regulations over the past couple of years they have made the process easy to understand and to implement both through their workshops and additional help. Would highly recommend to any brokerage, their team are always available offering help and assistant.
We have used the services of Create Solutions for many years and the support we receive is invaluable to our business. There are times when we just need guidance to a relatively small query or more complicated situations such a change of Director within the company. Whatever is needed Create Solutions work with us to find the answers. They truly understand the complexities of the FCA and how this needs managing within a busy brokerage. I would recommend them to any broker as they reduce the worry of compliance and nothing is ever too much trouble.
Internal changes over the last twelve months led us to engage with the full service offered from Create Solutions. Their immediate compliance assistance, update on regulatory matters and training courses/ workshops over the year have been invaluable to us as a business in this ever changing regulatory environment. From a personal point of view, without having Create at the end of the phone for the last twelve months , I can’t imagine the additional work it would have caused me.
In the midst of increasing regulatory change, we took the decision to engage with Create over 2 years ago. Since then they have, provided quality compliance support to us when we need it, continually kept us informed of regulatory matters that we need to be aware of and have also helped us to establish a more solid compliance framework for the future. Pro-active compliance is their business…