The Gateway allows firms to monitor and track employee compliance filings, from personal account trading to gifts and benefits reporting, ensuring your processes are more efficient.
The Gateway acts as a depositary for all policies, registers, forms, and procedures, as well as a financial crime solution managing client onboarding processes, AML, KYC and CDD checks, risk assessments, and scheduled periodic reviews as part of our financial crime framework.
The Gateway system's key features include:
Access the protected portal with mobile devices from any location.
Reminders are automatically sent to prompt staff when to file, making the process efficient and streamlined.
Produce reports for management meetings, internal audits, and investigations.
Employees have all compliance filings, approvals, and policies in one place making compliance easy and simple.
Mitigate risks relating to conflicts, financial promotions, personal dealings, gifts and entertainment, and declarations of interest.
Fitting staff training around daily operations is difficult, at all levels of the business. The Gateway offers an on-demand training service that prioritises convenience.
Expertise from ex-regulators
Our directors are well versed in this area; many having formerly worked as regulators. We are entirely focused on compliance and have a thorough understanding of regulatory processes, interpretation, and wider trends.
Constantly updated and improved
Regulations change all the time, and our position as compliance professionals within the industry leaves us ideally placed to track developments to update our courses in tandem.
The Gateway is a comprehensive compliance solution, designed by compliance professionals.
Specialist modules include:
Get in touch to find out more about our services:
+44(0)20 3696 8750
+44 (0)1481 725 775