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Our FCA Compliance Suite



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.


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.


Conflicts Register

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


Incidents & Breaches

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


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.


Notification of Major Shareholding

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


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

Other Omnitrack Solutions

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Gifts & Hospitality

Process and record all gifts, charitable donations and corporate hospitality with seamless approvals.

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Vendor Assessments

Automate the supplier onboarding process with hundreds of pre-build questions covering all aspects of GRC and ESG.

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