FAIS and FICA compliance for financial advisers
Advice practices carry FAIS and FICA obligations that don't stop growing. FSP Complai gives you an RMCP you can actually maintain, client screening in seconds, file reviews with findings, and every declaration your staff owe, in one place.
Compliance tools for Financial advisers
- Record of advice file reviews
- FICA RMCP, client risk rating and sanctions screening
- Conflicts, gifts and fit and proper declarations
- CPD per rep, synced from the FSCA register
Key modules
FICA and RMCP builder, Sanctions screening, Supervision, Conflicts of interest, Gifts register, CPD tracker, Complaints