What is the Gateway?

The Gateway is an all-in-one unique online compliance solution designed by compliance experts to simplify your compliance infrastructure.

The Gateway system is a comprehensive compliance management tool that 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.

What can be found on the Gateway?

The Gateway has the functionality to oversee the Senior Managers & Certification Regime including annual staff attestations, conducting fit and proper assessments, and facilitating the automated production of certificates. Additionally, it manages the financial promotions approval process and maintains a thorough recipients register.

Furthermore, the Gateway oversees product governance through checklists, conducting appropriateness or preliminary suitability assessments, monitoring financial resources under the Investment Firms Prudential Regime (IFPR), and ensuring compliance with Appointed Representative standards. The tool also includes monitoring procedures for Investor and Client Anti-Money Laundering (AML), Know Your Customer (KYC) due diligence through designated forms.

Take a look at how the Gateway can help your compliance function with our video demos.

What are the benefits of using the Gateway?

1. Web-based, secure online environment

Access the protected portal with mobile devices from any location.

2. 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.

3. Compliance reporting & analytics tool

Produce reports for management meetings, internal audits, and investigations.

4. Simplicity and convenience 

Employees have all compliance filings, approvals, and policies in one place-making compliance easy and simple.

5. Manage compliance risk

Mitigate risks relating to conflicts, financial promotions, personal dealing, gifts and entertainment, and declarations of interest.

6. 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.

7. 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.

8. 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.

Can compliance training courses be found on the Gateway?

The Gateway system offers comprehensive compliance training on a variety of topics. The e-learning solution is perfect for those busy team members, with 27 courses on offer and more expected in 2024.

Our courses include:

• Anti-Bribery and Corruption
• Anti-Money Laundering
• Market Conduct
• Anti-Tax Evasion
• Data Protection, Privacy, and Security
• Conflicts of Interest
• Consumer Duty & Vulnerable Clients
• Senior Manager and Certification Regime

Want to find out more about the Gateway?

Join the 200+ firms and 1,800+ active users who trust the Gateway to ensure their teams are up to date through our expert-led courses. Reach out to the team today to learn more about the offering and receive an exclusive demo from our compliance experts.