The GATEway ©

The GATEway

The GATEway is Newgate's unique on-line compliance solution. It has been designed by compliance experts at Newgate specifically as a compliance product and solution to simplify the implementation of your compliance procedures within your firm. This system has been designed for firms within the industry and does not attempt to adapt an off-the-shelf system into a compliance product.

What our clients say...

"We started using The GATEway as we wanted to introduce a modern compliance solution without the need to hire more compliance staff. The GATEway has met all of our requirements..."

COO, Hedge fund based in the West End

The GATEway system© is a comprehensive compliance management tool enabling a firm to undertake the compliance monitoring programme within a secure on-line infrastructure.

GATEway also allows a firm to monitor and track employee compliance filings, for example, personal account trading, gifts and benefits reporting and attestations. It will not only make the process more efficient but will enable your firm to evidence full details of any employee compliance filing, if required to do so at a later date. 

Not only is GATEway a depositary holding all policies, registers, forms and procedures but it also has a library of articles and documents on a wide range of regulatory topics and issues.

The Gateway system's key features are:

  • a fully inclusive diarised risk-based compliance monitoring programme;
  • a depositary to keep policies and procedures;
  • an on-line compliance manual;
  • an searchable library of compliance and regulatory news, documents and technical papers;
  • links to the FCA's Handbook to applicable sections and rules together with helpful explanatory notes which explain why certain actions and duties are needed to be undertaken together with definitions of certain regulatory phrases and terms; and
  • a fully robust audit trail with identification of user, amendments and timing of changes.

Key benefits of using the system are:

  • on line storage of all compliance documents and monitoring (with the ability to print documents when desired);
  • the system can be accessed from any location which has an internet connection and is entered via secure and protected login details;
  • increasing the awareness of management and staff in compliance issues;
  • improves controls and governance within the firm;
  • in reducing compliance risk by leading users through the correct process;
  • increases compliance knowledge and understanding by instilling correct processes and procedures;
  • it is easy to update the compliance materials without the need reprint large amounts of information; and
  • the ability to undertake quality assurance monitoring.