Principal Firm with Appointed Representatives Directly Authorised Firm without Appointed Representatives
About
Expertise is just the beginning…

Compliance Star offers effective and efficient remote management of FCA Authorised Firms and its operating Units/Agents via real-time data collection and reporting.

Full service — No compromise.

Compliance Star is a technology-enabled compliance platform that facilitates compliance management, workflow and monitoring of firms authorised by the Financial Conduct Authority (FCA). Compliance Star is underpinned by a ‘fail-safe’, calendar-based task management system. This allows for both automatic and manual setting of tasks, notifies actions, populates deadlines into a calendar, issues reminders and monitors for completion. The platform reduces compliance burden significantly and is currently being used by leading regulatory networks. Compliance Star enables complete tracking of internal regulatory processes. It provides up-to-date single point data access combined with the ability to produce FCA required reports on such data, saving time and cost. If you are looking for control, we think Compliance Star is just the solution you need.

What can Compliance Star do for your business?
Clarity

Compliance Star is a bespoke workflow management tool which has been developed by our team of market-leading compliance experts to manage compliance monitoring, reporting and oversight of your appointed representatives effectively and efficiently.

Insight

Compliance Star’s MI functionality provides you with the perfect platform to manage your compliance reporting and regulatory oversight obligations

Diligent

Meet your regulatory requirements with the Compliance Star Appointed Representatives and Approved Person’s due diligence recommended framework.

Awareness

Compliance Star manuals, policies and procedures are tailored to your Appointed Representatives business types and tackle the ever increasing guidance issued by the FCA in respect of compliance updates

Assurance

Compliance Star automated and manual task functions allow you to create the tasks that your business needs and to stay on top of your compliance risk across your Appointed Representative portfolio.