A new dawn in compliance support

Transcription

1 A new dawn in compliance support

2 What does compliance mean to you? We think it should mean support that takes away the burden of reviewing regulation, that turns it into plain English, and that helps you easily implement anything relevant to you and your business. It should be support that cuts through the noise, and helps you to focus on the parts of your job you love. It should be support that embraces technology, that gives you control, and makes it easy, with the click of a button, to know what risks, if any, are in your business. We believe compliance support should be just that supportive. We re here to change what compliance support is and we are changing how this is delivered. 2 3

3 You might be wondering what makes Apricity different to other compliance support services? We have three uniques that we think make us stand out from the crowd Technology Common sense Don t look back We think the days of dreading your compliance visit, where a consultant comes and sits themselves in your offices, ploughs through files, and gives you a 50-page report of things to change, should be long gone. We use technology to make your compliance management as simple and easy as possible. All our business assessments, file checks and technical queries are done online, via our system. Your regular check in with your friendly compliance support will be via video conferencing. Your Training & Competency management is made a breeze, with everything clear to see in your dashboard. Everyone, and we mean everyone, gets frustrated at the tick box mentality often used by compliance support providers. We ve worked with industry experts and looked at FCA preferences. We believe it s about a risk based approach. It s about making sure you know what s happening in your company at all times. And it s about understanding your business, and your advice, and providing support according to that. Not according to a checklist. A frequent frustration with compliance support is the retrospective view. Looking at a file several months after the case has been completed and discussing what should have happened isn t helpful to anyone. No one has a time machine. We focus on helping you set up your business and processes correctly right at the very beginning. Putting everything in place from the outset to ensure the end output is naturally compliant. We believe it is this forward-thinking approach that will de-risk your business and ensure everyone in your firm is on the same path. Our powerful, but simple to use, technology, gives you the control of your compliance right at your fingertips. Core features are: T&C management in your control, with a dashboard view of every individual and their training and competency status. Risk rating of your advisers, and your overall firm, with triggered alerts system if any changes could potentially cause a risk within your company. Checklists, templates and guides, all available to use, and all written in plain English. No jargon here, we promise. Technical help available at the touch of a button. Ability to set your own risk controls, to reflect what matters to you and your firm. File checks that separate out the quality of the advice, and the quality of the paperwork, to help identify any training needs. 4 5

4 About us Apricity was created after listening to advisers frustrated with their existing compliance support. They told us they often felt like a small fish, using a large external provider, who bombarded them with checklists and templates, and not the personal support they craved. They told us they want to feel confident they are getting thorough regulatory support, but to still receive that personal service. They want support that will actually ease the regulatory burden, not add to it with endless reports of extra things they should be doing. They want support to implement any recommended action, to have a friendly face they can talk to, and to have clear and transparent fees. They do not want to be the subject of cross selling with other products and providers. They do not want to be given a bank of thousands of documents and told to figure out which is appropriate to them. They do not want to be bombarded with compliance updates on matters that are not relevant to them. We ve listened to this. Agreed with it all. And built something truly unique, to support directly authorised firms who want to focus their time on giving amazing advice to their clients. 6 7

5 It all starts with a conversation. Beehive, Lingfield Point, Darlington, DL1 1RW