New Business Register

 

Compliance Star allows you to select from a package of modules which can be tailored to your needs and requirements

 

 

9-Compliance-Star-App_Business-Register-1

Background

  • The FCA expects firms to have sufficient records detailing its customers/clients services and products.

Compliance Star

  • New business registers are automatically generated at pre-determined dates with notifications for completion and checking through to sign off.
  • The firm enters or uploads via CSV file all new client activity within the given time frames specified with the new business register allowing a central record of all firms activities.
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Benefits

  • Identification of the firms Units/Agents service, products and customer base.
  • Comparison and analysis of the firms/agencies regulated activity and regulatory income.
  • Clear and concise reporting of the firms supervision and oversight.
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