Compliance Management offers the services of our team of Qualified Persons to meet your company’s RP needs. The status of our Qualified Persons comfortably makes them eligible to act as a Responsible Person for your Wholesaler’s Authorisation. Our QPs have the level of expertise and degree of flexibility required to fit with your requirements and to deliver on them when, where and how you need them.
Profiles of our team are available here and we will be happy to match your company’s requirements to the most suitable consultant.
Our QPs can act as your primary or deputy RP depending on your needs.
Back-up RP Services
While some larger Wholesalers have the luxury of having several RPs on the licence, not all companies are in such a position to do so, causing difficulties for the facility to operate during periods of RP absence, and periods of intensive demand such as project management.
Compliance Management can provide back-up RPs who will appear on the customer’s Wholesaler’s Licence in order for them to seamlessly step in when needed.
The normal process for this service is as follows:
- Initial induction period for the RP
- Application to vary the Wholesaler’s Licence
- Provision of RP back-up service in accordance with a Service Level Agreement.