Our FCA Compliance Suite

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SMCR

Conduct Rules Staff:

Review and acknowledge the FCA’s conduct rules.

Certified Persons:

Users review conduct rules and certification functions. Admins review submission and issue certificates if the employee is ‘Fit and Proper’.

Senior Managers:

Review additional conduct rules and senior manager functions. Admins review submission and collate information for FCA application.

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Declaration of External Interests

Completed annually, the form helps manage conflicts by asking staff to consider all of their paid and unpaid engagements outside the firm.

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Conflicts Register

Completed whenever a staff member is granted access to a client file, ensuring they declare any actual or potential conflicts.

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Incidents & Breaches

Record and monitor any significant incident, including those which lead to: complaints, legal claims, or breaches of FCA rules.

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Insider List

Compile and maintain a list of people who have access to inside information, using the report function to provide the list to the FCA on request.

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Notification of Major Shareholding

Determine whether shareholders must notify the issuing company after holdings reach, exceed or fall below certain thresholds.

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PI Trawling

Ensure all employees comply with the standards required for a firm to maintain professional indemnity insurance.

Why Omnitrack?

Save time with a centralised solution for assisting with FCA compliance

Automatic reminder emails, flagging of high-risk submissions and assignment of tasks

Use one of our pre-built forms that are fully customisable, or build your own form from scratch

Graphical dashboard that can be tailor-built to give a full view of all submissions and guide further action

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OmniTrack

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