Catalyst can conduct a review of an existing AFS Licensee’s documentation & procedures. This review tests the existing documented processes against what the Licensee has stated in their core license proofs for their license application, what is actually happening within the business and the regulatory requirements.
Catalyst will prepare a report containing findings and recommendations that can be processed through the Compliance Committee and if required, presented to the Licensee’s Board.
Central Document Repository
Catalyst have identified that a common challenge for licensees is maintaining compliance documents and appropriate version control. Key changes in personnel and ineffective internal soft copy filing often prevent licensees in being able to locate key documentation and correspondence as required.
Catalyst operates a central document repository that stores all compliance documents relating to the licensee and the representatives, providing a version control solution and internal access for key staff in your business involved in the compliance program.