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The Compliance Register Library

This Library houses the following:

JOIN THE FSPRO GLOBAL REGISTER

The Compliance Register has been serving the needs of FSPros since 1995. Our track record speaks for itself.

Get connected to our global community by joining the FSPro Global Register today. Everyone who works as a Financial Services Professional or FSPro can apply. It demonstrates your commitment to high professional standards thereby enhancing your professional standing.

Basic membership is free provided you meet the criteria set out in the Application Form. However, you will not have access to the Online Library.

The Online Library is exclusive to FSPro Premier Members and Online Library Subscribers. Annual fees are the same for both Premier Members and Subscribers. If you are a Subscriber, you can upgrade free of charge to be a Premier Member which has the most benefits.

Sign up for Membership

THE ONLINE LIBRARY

This is designed to contain materials on a wide range of topics – new material is always welcomed from our network of trusted partners. We welcome your suggestions. Examples are listed below – please note this list is not exhaustive:-

Legal Requirements

Statutory requirements regarding gaining authorisation, Senior Management Responsibilities, Anti-Money Laundering, Financial Sanctions, Market Manipulation, Insider Dealing, Anti-Bribery and Corruption, Data Protection, Cyber Security, Risk Management, Fraud Prevention, Rules of the Financial Conduct Authority, Prudential Regulatory Authority, SEC, MAS, Listing Authorities, etc.

Compliance Policies & Procedures

Having Policies & Procedures to ensure your firm meets the regulatory standards including Compliance Monitoring. Includes taking into account relevant guidance from regulators and industry. 

Management

Leadership, management and team-building skills for effective corporate governance and compliance. To be successful, a firm needs to have high professional standards and focussed leadership.

Latest Developments

Be in the loop.

Keep up-to-date with the latest developments. This includes new threats, challenges, opportunities, technology and AI, etc.

All In One Place

The Online Library is designed to have all relevant materials accessible online. We welcome your suggestions regarding new materials and contributors, just let us know.

Networking

Connect with your fellow professionals. Be part of the global community.

Register Now

COSTS per person

- Basic membership is free.

- Premier membership: £360.00 annually inclusive of VAT

- Online Library Subscription: £360.00 annually inclusive of VAT

EVENTS LISTING

(In progress)