Service outcomes
See what each deliverable covers, the evidence it produces, and the compliance outcome it supports.
Identifies where the client is exposed against COFI direction, FAIS obligations, licence conditions, governance expectations, and evidence standards.
Client outcome:Management can see what is broken, what is missing, what is urgent, and what can wait.
Maps the client’s regulated activities, products, channels, roles, representatives, outsourced functions, and customer touchpoints.
Client outcome:The business can connect its real operations to the permissions and controls it must maintain.
Turns compliance gaps into board-level decisions, owner assignments, risk priorities, and reporting checkpoints.
Client outcome:Directors and key individuals get a defensible route from awareness to implementation.
Converts the diagnostic into weekly actions, owners, documents, controls, training requirements, and evidence deadlines.
Client outcome:The client leaves with an implementation rhythm, not just a report.
Checks whether current and proposed activities match the correct FSCA authorisation categories and licence profile.
Client outcome:The client understands whether its licence actually covers the business it is conducting or planning.
Prepares the documents, forms, policies, operational evidence, and key person information needed for an application or profile change.
Client outcome:The client submits a structured, evidence-backed application instead of a scattered file.
Builds a file showing the key individual’s competence, oversight ability, experience, honesty, integrity, and role accountability.
Client outcome:The KI can prove oversight instead of merely holding a title.
Tracks questions, submissions, deadlines, attachments, outstanding responses, and follow-up actions with the regulator.
Client outcome:No regulatory query disappears into email noise.
Builds a live calendar of statutory returns, monitoring cycles, training deadlines, board packs, reviews, and owner reminders.
Client outcome:The licence is maintained through a rhythm of action rather than memory.
Documents file reviews, conduct observations, representative supervision, complaints, incidents, and remediation progress.
Client outcome:Management can show active oversight and control testing.
Records compliance gaps, owners, dates, severity, actions, decisions, and evidence of completion.
Client outcome:Problems are managed visibly instead of becoming repeat findings.
Packages compliance status, risk themes, incidents, training, monitoring, remediation, and regulatory changes into board-ready reporting.
Client outcome:Directors receive useful oversight evidence, not generic compliance noise.
Role-based COFI, FAIS, FICA, fit and proper, conduct, complaints, and evidence training for people who carry obligations.
Client outcome:Staff learn the requirements they actually touch in daily work.
Short assessments that show whether training translated into understanding.
Client outcome:The client can evidence competence, not just attendance.
Records who attended, what was covered, when it happened, and what materials were issued.
Client outcome:Training records can be produced quickly when challenged.
Signed role acknowledgements confirming that directors, KIs, representatives, and staff understand key obligations.
Client outcome:Accountability is documented at the role level.
Maps statutory reports, recurring returns, board reporting dates, submission owners, supporting evidence, and escalation points.
Client outcome:The client knows what must be reported, when it is due, who owns it, and where the proof sits.
Reviews public website wording for licence claims, service promises, advice risk, representative wording, and unsupported regulatory statements.
Client outcome:The client can fix risky public claims before a customer or regulator relies on them.
Checks whether licence status, disclosure wording, contact routes, complaint routes, privacy notices, and lead forms are properly presented.
Client outcome:The website becomes easier to defend as a regulated communication channel.
Prioritises website wording, page structure, disclosures, forms, disclaimers, and governance changes.
Client outcome:The client knows what to change first and why.
Compares competitor licence claims, disclosures, service language, onboarding cues, regulatory posture, and public compliance maturity.
Client outcome:The client sees how the market is positioning compliance and where it can improve.
Benchmarks disclosures, complaint routes, licence references, privacy wording, and risk statements against competitors.
Client outcome:The client can improve clarity without copying competitors blindly.
Combines competitor observations into compliance risks, missed trust signals, customer-friction points, and commercial opportunities.
Client outcome:Compliance becomes part of market positioning, not just internal control.
Translates website and competitor findings into concrete content, governance, disclosure, and control changes.
Client outcome:The client gets a clean path from public risk to corrected public presence.