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

Preparing your Consumer Duty Board Report by 31st July 2024 - How can the Create Solutions team help?