Communication & Disclosures
Reviewing marketing, financial promotions, and customer disclosures against FCA, SEC, and FINRA standards before they go out.
Material Non-Public Information (MNPI) Controls
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Beaufort AuditPro
Behavioural fraud signals without rule sprawl
Best execution and complaints evidence is produced automatically, so the firm can answer a regulator's conduct question with a documented trail rather than a manual reconstruction.
Headquartered in United Kingdom·Founded 2017·11-50 employees·Seed
You filtered for Communication & Disclosures. Beaufort Audit matches on Communication & Disclosures.
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Compliance functions evidencing best execution and market-abuse controls to regulators.
What they solve
Lightweight regulatory reporting builder for firms outgrowing spreadsheets but not ready for a full platform replacement.
Trade Reporting
Submitting transaction and trade reports under MiFIR, EMIR, SFTR, Dodd-Frank, and equivalent regimes, with reconciliation against counterparty submissions.
Reconciliation & Reporting Data Quality
Compliance Assessment
Running control testing, RCSAs, internal audits, and regulatory exam preparation, with evidence collection and finding-tracking through to remediation.
Evidence Management
Products
Complaints TrackerLive
Drives complaint handling, breach reporting, and outcome tracking for conduct-regulated firms.
Market Conduct · Trade Reporting
Market Abuse DetectorBeta
Analyses execution quality against benchmarks and evidences best execution to regulators.
Market Conduct · Trade Reporting, Communication & Disclosures
Regulatory Change TrackerLive
Runs structured control tests with evidence capture and remediation tracking in one place.
Compliance Management · Compliance Assessment
Clients
ⓘTeam
Oliver Dubois
Head of Financial Crime
Zoe Adeyemi
VP Sales
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