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Managing your risks

FCA regulation means it’s more important than ever for firms to effectively manage compliance functions and risk.

One of the key benefits of Compliance Star is comprehensive, reliable data which the firm can rely upon to manage its exposure to risk, ensure those who control and direct the firm have demonstrable, effective oversight and offer rapid identification of issues allowing the firm to respond quickly so reducing customer and regulatory risk.

Compliance Star gives you the tools you need to keep your firm up to compliance standards.

Modules for Directly Authorised Firms
SMCR Module 3@4x Audit@4x-100-1 AML Module 2@4x Complaints@4x-100-1 MI Module 2@4x Fit and Proper@4x-100 Financial Promotions Module 2@4x CPD@4x-100-1 Manuals Module 2@4x New Business Register@4x-100 Risk Register Module 2@4x Reporting Registers@4x-100-1
Modules for Principal Firms
AR Take On Process@4x-100 Firm DD Module 2@4x Audit@4x-100-1 Attestations Module 2@4x Complaints@4x-100-1 MI Module 2@4x AR Take On Approved Persons@4x-100 AML Module 2@4x APER Fit and Proper Testing@4x-100 AFT Module 2@4x CPD@4x-100-1 Financial Promotions Module 2@4x New Business Register@4x-100 Manuals Module 2@4x Reporting Registers@4x-100-1 Risk Register Module 2@4x
The Thistle Group

Compliance Star is part of the Thistle Group, an award-winning compliance service provider, offering a wide range of services to firms in the financial services sector.

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