The following parties will expect to see you using compliance software…and will ask to see extracts from that data
The following are all real questions that the FCA at some stage will ask every business
All the replies to the above should be fully automated, and should be supplied to the FCA either by download to PDF or by providing them with a log in.
FCA expect you to keep records in applications like BAT.
Compliance should be seamless, but too often becomes a blocker
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T&C / Document Library / Compliance manager
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