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The Gateway: Compliance Software

A unique online compliance tool, designed by our experts to simplify your compliance infrastructure.

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.

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.

Why Ocorian?

  • Flexible learning

    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.

    Flexible learning

  • 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. 

    Expertise from ex-regulators

  • 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.

    Constantly updated and improved
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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)
  • Appointed Representative monitoring
  • Investor and Client AML KYC due diligence forms
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WHAT YOU SAY

WHAT YOU SAY

  • "We started using The Gateway as we wanted to introduce a modern compliance solution without the need to hire more compliance staff. The Gateway has met all our requirements..."

    Hedge fund based in the West End

    COO

How can the Gateway help your compliance function?

The Gateway is hosted by Newgate (UK and Channel Islands), Ocorian's subsidiary compliance consultancy service.

Let’s talk

Contact us and a member of our team will be in touch.