What we will do for you

We will give you all the right tools, resources and training to create an effective, easily-maintained, alive compliance system specifically designed for your business.

We don’t then just go away and leave you to it; we stay involved to ensure that you implement compliance and monitor your main risks. We regularly check the fit of the compliance system as your business grows and regulation changes.

Can you say ‘Yes’ to the regulators?

When one of our clients gets a call from the regulator they can answer the four big questions with certainty:

  1. Yes, we know what our compliance obligations are, we have assessed our risks and we have implemented a system to manage them.
  2. Yes, we know we comply and we can prove it, because our compliance system records more than just our policies and procedures: it provides up-to-date evidence that our compliance system is implemented, monitored and effective.
  3. Yes, we know that our representatives are competent, because our training program regularly assesses their skills and competence and then provides targeted training to meet the needs of individuals.
  4. Yes, our governing body knows we comply because we have sophisticated reviewing tools that really test compliance, and meaningful reports that tell the Board what they need to know.

Ask yourself: could you say ‘Yes’ to all four of those questions?

What can you expect from Certainty

With our approach you can expect:

  • project management to ensure you get the correct licences required to operate your business so that you can launch your business asap
  • process design to embed compliance practices in your business
  • reporting to keep you and your Board of Directors informed on the current status of compliance
  • survey tools for internal compliance reporting and external compliance reviews
  • liaison with regulators on your behalf
  • complaints handling and dispute resolution
  • extranet workspace known as ComplianceManager that is the communication and record-keeping hub of your compliance system
  • continuous support and mentoring through the ComplianceManagerworkspace as well as regular face-to-face- contact
  • a flexible training programme that assesses the training needs of Responsible Managers and Representatives, provides access to appropriate training modules, reminds you to do it, and maintains training records.