Protecting your business by trading compliantly gives you the peace of mind to concentrate on turning a profit
We don't assume that every new member will have the same compliance issues or needs. That's why the level and nature of UKGI support is set by you to ensure it matches your business requirements.
Our range of services can be tailored for your exact requirements, which means we can provide the right level of support for brokers of all shapes and sizes.
Online Compliance Manual
Access to our comprehensive web-based Compliance Manual is a key element of your UKGI membership.
Compliance Workshops
While the Compliance Manual and our helpline are excellent sources of advice and support, sometimes there's no substitute to face to face discussion.
Regulatory Update Service
We provide regular Bulletins to our members; providing updates reflecting changes in regulation, clarifications received from the FSA or new issues as they arise.
Remote Healthcheck
The online healthcheck provides a quick and simple way of gaining a snap shot of your firm's overall compliance health.
Dedicated Helpline
Access to the UKGI technical helpline provides firms with one to one advice and guidance on how to interpret and implement FSA regulation.
On-site Support Visits
Our annual compliance support visit gives a member firm the opportunity to gain an independent view of its compliance systems and processes.
Document Checking Service
Part of our helpline service includes assisting members with ensuring their financial promotions and key documents, such as stationery and terms of business, are compliant.
Review Service
The UKGI review service assists in reducing the risk of non-compliant material being published because of compliance errors.
Website Checking Service
Websites, especially those that are transactional, tend to attract FSA interest and are easily scrutinised.
Template Documents
UKGI offers a range of template documents which are available through the Online Compliance Manual.
On-site Audit Visits
An On-Site Audit from a third party can provide an objective review of your systems and controls.
Dedicated Consultants
For medium/larger firms, the dedicated compliance consultant can act as a support to an in-house compliance officer.
