Maestro-Solutions for

The United Kingdom

UK: FCA – Appointed Representatives

The FCA allows firms to appoint representatives to act on their behalf.

Our FCA Appointed Representatives solutions ensures regulated firms have completed the necessary take-on process for Appointed Representatives and undertaken sufficient periodic reviews to verify  the initial and ongoing compliance of their appointed representatives.

Exceptions are flagged for investigation and resolution. All confirmed exceptions can then be reported on.

UK: FCA – Combating Financial Crime

The UK FCA’s handbook on combating financial crime is a broad ranging and comprehensive document which summaries best industry practice.

Our FCA Combating Financial Crime solution enables firms to benchmark their status against international best practice. Even firms outside UK FCA jurisdiction can benefit from assessing the adequacy of their AML and Financial Crime control environment.

UK: FRC – Corporate Governance Code

The UK Local Government Pension Scheme Guidance on Preparing and Maintaining an Investment Strategy Statement outlines the requirements on Administering Authorities regarding social, environmental and corporate governance investment (amongst other issues).

Our ESG Management Solution helps LGPS Administering Authorities ensure their ESG requirements are part of the third-party investment manager selection process and ongoing monitoring, including reporting on the results of the ESG policy.

UK: FCA – Customer Complaints

The FCA Customer Complaints management and reporting rules are onerous but it is necessary to fully comply and to be able to prove your compliance.

Our FCA Customer Complaints management and reporting solution enables clients to log complaints, record the required information and manage the complaint to resolution. Semi-annual reports are available for FCA reporting. A semi-annual senior manager review is also provided which allows management to identify customer complaint root causes and actions taken to prevent complaints arising.

UK: ICO – Employment Practices Code

The Information Commissioner’s Office (ICO) Employment Practices Code details the steps employers are expected to follow to ensure they comply with the UK’s Data Protection Act 1998.

Our ICO Employment Practices Code solution helps firms ensure they have implement the policies/procedures required to evidence Data Protection compliance. Where shortfalls are identified these can be reported and resolved.

UK: LGPS - Guidance on ES&G Investing

The Information Commissioner’s Office (ICO) Employment Practices Code details the steps employers are expected to follow to ensure they comply with the UK’s Data Protection Act 1998.

Our ICO Employment Practices Code solution helps firms ensure they have implement the policies/procedures required to evidence Data Protection compliance. Where shortfalls are identified these can be reported and resolved.

Related Resources

UK: FCA – Customer Complaints
UK: FCA – Combating Financial Crime
UK: FCA – Appointed Representatives
UK: FRC – Corporate Governance Code
UK: ICO – Employment Practices Code
UK: LGPS - Guidance on Preparing and Maintaining an Investment Strategy Statement