Leo for Regulated Firms

Leo assists firms regulated by and following the rules of the FCA. It is an all-in-one Compliance Software to create automated reports, capture compliance data, and safely store and transfer documentation.

This solution is used by Compliance Officers and Compliance Teams to fulfil their obligations in the area of compliance monitoring, the annual money laundering report, Senior Manager Fitness & Propriety (SM&CR) reports, and more. Leo is permissions based and you can tailor the access to parts of the software on an as-needed basis; staff are granted access only to 1^st level of compliance controls allowing them to submit declarations.

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What's Included

Compliance Oversight
SM&CR
Client Due Diligence
Vendor Due Diligence
MLRO
Financial Promotions

Employee Declarations
Attestations
PA Dealings
Registers
GDPR
Template Editor

Benefits

Reports automatically flag breaches of FCA regulations and best practices.
Integrate your templates or use Leo’s.
Centralise all of your compliance documentation and give access on a permission basis.
Organise your compliance tasks and get reminders and alerts.