New Business Register

 

 

 

14-PAR_Compliance-Star-App_Business-Register

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 appointed representative 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.
9-DA_Business-Register-1

Benefits

  • Identification of the AR firms service, products and customer base.

  • Comparison and analysis of the AR firms regulated activity and regulatory income.

  • Clear and concise reporting of the principals supervision and oversight

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