The Gateway

The Gateway is an innovative online compliance tool developed by our experts to streamline your compliance infrastructure. It enables firms to efficiently monitor and track employee compliance filings, including personal account trading and gifts and benefits reporting.

The Gateway also serves as a repository for all policies, registers, forms, and procedures, and manages client onboarding processes, KYC, CDD checks, risk assessments, and scheduled periodic reviews within our financial crime framework.

Additionally, the Gateway includes FinCrim, a dedicated AML compliance module. This module provides comprehensive access to AML risk management, PEPs and sanction screening, compliance monitoring, and training solutions, all in one place.

Key features of the Gateway system include:

  • a comprehensive, diarised risk-based compliance monitoring program
  • an online compliance reporting and analytics tool producing reports for management meetings, internal audits and investigations
  • links to the FCA's Handbook with applicable sections and rules, along with explanatory notes that clarify necessary actions and regulatory terms
  • a robust audit trail identifying users, amendments, and the timing of changes
  • web-based, secure online environment accessed from any location.

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