The foundations of Exponential Broker Solutions are built upon a highly qualified and experienced team of financial services professionals that have diverse knowledge across all elements of the industry, with all of the management team having held either FCA controlled or significant influence functions, or in some cases both.
Exponential Broker Solutions is a specialist financial services compliance firm, whose vast experience of regulatory matters in the financial services sector can help every size of firm, at a strategic level as well as on a day to day basis. Exponential Broker Solutions can assist with all regulatory requirements from FCA authorisation to enforcement and from consulting to accountancy matters. We can also provide Appointed Representative (AR) status, check the checker services and, if necessary, help to rectify and remedy systemic compliance issues identified from historic business practices.
Thorough FCA compliance management is a relatively recent experience for many firms but it is something which is becoming ever more important and recently has moved at such a pace, it is difficult for many firms to keep up to date with. But, with the stricter compliance rules and harsher penalties for not adhering to them, it is vital that a firm's compliance regime is kept fully up to date. In the modern financial services sector it must be an absolute priority that compliance is built into the DNA of the business model. This is where Exponential Broker Solutions come in.
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