FP Supervision for Regulatory Hosts & Principals

As a regulatory host or principal firm, you are responsible for overseeing and advising on the risk within your client firm’s business’.

Managing risk well, and supporting your clients or appointed representatives to be compliant can be time consuming, with many manual, disjointed processes that are open to risk and human error, and cost a lot in terms of budget and people power.

Communications oversight is only becoming more complicated with so many channels of communications used to conduct business, and an unfathomable amount of data flowing through your client’s businesses daily.

And yet – global regulators expect you, as a service provider or principal, to have ‘effective and proportionate systems and controls’ in place to oversee and manage the risk across your client/ AR network.

The task of running an efficient, cost effective oversight operation that supports your business to turn a profit seems a mammoth task.

So what is the answer to running a profitable oversight business or principal firm? Technology of course!

Our CEO, James Hogbin discusses the way things were done and how technology is the key to having effective, policy and procedures driven oversight over your client networks – automating the manual, and empowering your team and wider business to deliver market leading oversight that will not just meet, but exceed global regulators expectations.

Holistic compliance monitoring & risk management.

Effective Client Oversight - A Case Study.

Learn how our client, has used the FP Supervision platform to transform how they oversee their Appointed Representative clients. If you’d like to find out more about how our technology can support your firm get in touch, we’d love to help!

Regulatory Hosts/ Principals Case Study
ACA Mirabella + Fingerprint | Case Study Download

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