FSA Compliance

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BSI offers a wide range of services to increase the profitability and value of broker businesses through effective compliance management and good business practice. This also includes providing services to assist with the ever increasing demands of regulation that claims time away from the conduct of core business. Our services include:

  • FSA compliance audits
  • Ongoing compliance support
  • Provision of documentation and procedures manuals
  • Help with RMAR Reporting
  • Programs for TCF and conflicts of interest
  • Appointed representative monitoring
  • File Reviews
  • Training
  • New application for FSA authorization
  • Preparation for FSA visits
  • Pre acquisition due diligence
  • Business planning
  • Special projects