Fingerprint for Principals & Regulatory Hosts
As a Regulatory Host or Principal Firm, you oversee, advise, and are responsible for compliance risk across your Appointed Representative network. And it’s hard to do this effectively, we know. Managing risk well and supporting your Clients or Appointed Representatives to be compliant can be time-consuming, with many manual, disjointed compliance processes open to risk and human error, which can cost a lot in terms of budget and people power.
Communications oversight is only becoming more complicated with the many communication channels we now use to work, which means an unfathomable amount of data flowing through your AR’s businesses daily. And yet, regulators expect you, as a Regulatory Host or Principal, to have “effective and proportionate systems and controls” in place to oversee and manage the risk across your Appointed Representative or Client Networks.
Running an efficient, cost-effective oversight operation that supports your business to turn a profit seems like an impossible task.
So what is the answer to running a profitable oversight business or Principal Firm?
It’s Technology, of course!
With Fingerprint, you can transform oversight over your Appointed Representative network:
Designed for multi-business oversight & supervision – gain unified oversight over your entire Appointed Representative network within a single compliance platform – which includes all the triage, investigation and reporting tools you’ll need to do supervision really well.
Improve efficiency, grow profitably and reduce costs – add more firms to your portfolio without needing to hire more people to manage them, allowing your business to scale really well.
Policy-driven platform – our platform is driven by your compliance policies so that you can easily demonstrate to the FCA that you and your Appointed Representatives or Clients are following their rules and regulations to a T.
Fingerprint can integrate with your existing technology tools – complementing your daily compliance tech toolkit.
If you’d like to see Fingerprint in action and learn more about how our platform can support your business, we would love to chat.