Discover how our SMCR solutions revolutionise compliance in the brokerage sector. Explore our case study to see how we’ve empowered brokerage companies to navigate the complex regulatory landscape effortlessly. From streamlined reporting to robust governance, we’re your partner in achieving compliance excellence.
SMCR Case Study: BrokerHow We Can Help
A large brokerage firm in the UK had merged with another firm, and the SMCR processes need to be updated and harmonised.
There were also various key management changes which necessitated a root and branch review of SMCR.
Additionally, the HR function was not fully conversant with SMCR and needed training.
PeopleClear were approached to carry out a full diagnostic of current SMCR practices and make recommendations for change.
Training was tailored and delivered for the HR function.
The SMCR report was received and recommendations implemented with PeopleClear support.
A secure environment to easily input and manage business-critical information.