The Compliance Register

The 2008 Compliance Register Awards

The Categories: For Firms

A1. Best Financial Advice Award (in association with Professional Adviser)

This award is for the firm that consistently provides excellent financial advice and service. The attributes of such a firm are good compliance culture, high professional standards, reasonable costs and good industry reputation.

  
A2. Best Technology Services Award

This award is for firms who provide technology services to financial services firms. The attributes of such a firm are high quality of services which meet regulatory expectations, reasonable costs and good industry reputation.

A3. Best Compliance Award

This award is for financial services firms (i.e. regulated firms) who have developed high standards of compliance culture and have an enlightened attitude towards compliance and regulation. The attributes of such a firm are good compliance culture, high professional standards and good industry reputation.

A4. Best Recruitment Services Award

This award is for firms who provide recruitment services to financial services firms. The attributes of such a firm are high quality of services, reasonable costs and good industry reputation.

A5. Best Compliance Consultancy Services Awards

This award is for firms who provide compliance consultancy services to financial services firms. The attributes of such a firm are high quality of services, reasonable costs and good industry reputation.

A6-7. Best Legal Services Awards

This award is for firms who provide legal services to financial services firms. The attributes of such a firm are high quality of services, reasonable costs and good industry reputation. This Award has two sub-categories:-

  • A6 - Litigation and Enforecement
  • A7 - Regulatory and Commercial

A8. Best Outsourcing Services Award

This award is for firms who provide outsourced support and administration services (including compliance) to financial services firms. The attributes of such a firm are high quality of services which meet regulatory expectations, reasonable costs and good industry reputation.

 
A9. Best Training Services Award

This award is for firms who provide training services to financial services firms. The attributes of such a firm are high quality of services which meet regulatory expectations, reasonable costs and good industry reputation.