The Gateway, your comprehensive compliance solution
The Gateway allows firms to monitor and track employee compliance filings, from personal account trading to gifts and benefits reporting, ensuring your processes are more efficient.
The Gateway acts as a depositary for all policies, registers, forms, and procedures, as well as a financial crime solution managing client onboarding processes, AML, KYC and CDD checks, risk assessments, and scheduled periodic reviews as part of our financial crime framework.
The Gateway system's key features include:
A fully inclusive diarised risk-based compliance monitoring programme;
a repository to keep policies and procedures;
an on-line compliance manual;
links to the FCA's Handbook to applicable sections and rules together with helpful explanatory notes which explain why certain actions and duties are needed to be undertaken together with definitions of certain regulatory phrases and terms; and a fully robust audit trail with identification of user, amendments, and timing of changes.
How we help
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Web-based, secure online environment
Access the protected portal with mobile devices from any location.
Track and monitor staff compliance filings, attestations, and approvals
Reminders are automatically sent to prompt staff when to file, making the process efficient and streamlined.
Compliance reporting and analytics tool
Produce reports for management meetings, internal audits, and investigations.
Simplicity and convenience
Employees have all compliance filings, approvals, and policies in one place making compliance easy and simple.
Manage compliance risk
Mitigate risks relating to conflicts, financial promotions, personal dealings, gifts and entertainment, and declarations of interest.
Fitting staff training around daily operations is difficult, at all levels of the business. The Gateway offers an on-demand training service that prioritises convenience.
Expertise from ex-regulators
Our directors are well versed in this area; many having formerly worked as regulators. We are entirely focused on compliance and have a thorough understanding of regulatory processes, interpretation, and wider trends.
Constantly updated and improved
Regulations change all the time, and our position as compliance professionals within the industry leaves us ideally placed to track developments to update our courses in tandem.
Powered by The Gateway
The Gateway is a comprehensive compliance solution, designed by compliance professionals.
Specialist modules include:
Senior Managers & Certification Regime
Financial promotions approval form and recipients register
Product governance checklists
Appropriateness or preliminary suitability assessment form
Financial Resources monitoring under the Investment Firms Prudential Regime (IFPR)