Tailor your own
package
With UKGI, you have the freedom to create a package of services that is
completely tailored around your business needs.
There are a number of ways to build a package that’s right for you. Here are just some of them:
Customise a package
Take one of our Essential, Enhanced or Comprehensive packages as a starting point. Then, depending on your individual
needs, add any extra services you need or remove any of the services you don’t need to create a package that’s a perfect fit.
Build your own
If you’re looking for something more bespoke, then start with a blank canvas. Talk to us about your business and we’ll put
together a completely bespoke package of services to meet your needs.
Add specialist services, when you need them
Some firms have very particular needs due either to the way they trade or the circumstances of their business at any given
time. For this reason, we offer a range of specialist services that can be added in as and when you need them. Examples
include our full website review and checking service for those who transact online, multiple site audits for firms with a network
or ARs, support with due diligence for those on the acquisition trail, or assistance in preparing for an FCA visit.
The best way of building your package is to talk to the experts, contact us for a free, no obligation consultation. In the meantime,
the full range of our standard services can be found in our Comprehensive package, and just some of our specialist services are
listed below:
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Multi-site audits
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Reviewing transactional websites
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Compliance officer replacement
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Best practice and benchmarking
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Due diligence
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FCA visit support
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Reviewing business sources
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Governance and controls
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Setting up ARs and AR networks
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Training for staff and ARs
Please see reverse for further details.
t. 0844 573 7916 e. [email protected] w. ukgicompliance.co.uk
Multi-site audits
Reviewing business sources
For larger brokerages with a number of
Best practice and
benchmarking
sites, these audits support the firm’s
For firms or groups with multiple sites,
(particularly IARs) or those depending
own compliance arrangements and
this service encourages the sharing of
on non-regulated introductions, we
provide independent oversight.
best practice and allows individual
provide an independent check to
firms or branches to measure their
ensure permissions are not being
performance against others, driving
exceeded and/or that introductions are
standards up across the group.
genuinely unregulated.
Setting up and monitoring
ARs and AR networks
Reviewing transactional
websites
Due diligence
This may include conducting fit and
For firms conducting business online
provide a due diligence service, giving
proper checks on prospective ARs and
we provide independent reviews of
an independent assessment of a
APs, developing internal compliance
transactional websites to ensure
prospect’s compliance health.
manuals and procedures, setting up
ICOBS and other relevant regulations
online manuals, conducting supervisory
are fully complied with.
For firms with multiple introducers
For firms on the acquisition trail we
visits and training.
Governance and controls
We can provide advice to senior
Training programmes for
staff and ARs
Compliance officer
replacement
managers and Boards about top down
We will provide training via breakfast
We act as compliance officers for firms
governance and controls, including risk
meetings, workshops and on-site
in a number of circumstances, for
identification and mitigation
courses so firms can choose the
example where a short term solution is
programmes.
approach which best suits their
required or where a business needs the
business. We can cater for small
services of a senior compliance person,
groups and mass training programmes
perhaps during periods of growth or
for businesses launching products and
transition.
services into the regulated market.
FCA visit support
We will work with the business to
identify gaps and implement necessary
changes prior to a review by the
regulator. We can be on-site during an
FCA visit to provide advice and support
and, where the FCA identifies concerns
and requires improvements, we will
help to plan and implement a
programme of remedial work to bring
the business up to the required
standard.
t. 0844 573 7916 e. [email protected] w. ukgicompliance.co.uk