Our Compliance Consultancy Services

We have an exciting range of FCA compliance modules available and ready to go. We make it easy for you by hosting the courses, managing your learners and providing you with access to progress and completion reports. FCA Compliance training is too important to be ineffective. Our courses are designed to be engaging for the learner whilst also representing excellent value for money. Each FCA online course is driven by practical examples alongside interactive scenarios and can be completed by the learner remotely, online or in the office

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Compliance professions need to save time, a great timesaver is to work from a template when forming policies, consumer duty assessments, financial promotions, fit and proper assessments, SMF applications, etc. We have a range of templates, each is created with the benefit of our expertise, kept up to date with the latest compliance requirements and have been successfully used as part of multiple FCA applications.​

We know exactly what the FCA is looking for.

​If you intend to carry out a regulated activity under the Financial Services and Markets Act 2000, you need to be authorised by the Financial Conduct Authority (FCA). Not sure? See our article for further information as to whether you need FCA Authorisation. The FCA scrutinise applications to a greater degree than ever before, with multiple data requests likely to follow submission. We can help reduce these through creating the compliance policy documents, procedures and your regulatory business plan to the level expected by the FCA. If you do these well, you are more likely to pass through the authorisation process quickly.

Our Consultants have helped hundreds of companies receive FCA authorisation, and have a 100% track record.​​

We’re highly experienced trainers, providing training for MBL Seminars, the Money Advice Trust and the Credit Services Association for a number of years. We offer in-house sessions, either face to face or online. Sessions are usually priced at: £950+VAT per day (payment by installments accepted).

The financial services industry is subject to increasing and ever-changing regulation and the cost of making mistakes is becoming higher.  By keeping on top of these regulations, you will gain advantage over your competition.

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​It is often helpful to speak to an outside expert and we can provide trustworthy and invaluable advice on everything from strategic planning to helping with compliance training. Our experienced and passionate consultants will add value to your business, when and where you need it.

The Consumer Duty is a step-change in regulatory expectations, one where financial services firms needed to revise their relationship with customers. As the landmark regulatory change of this decade the FCA is reviewing compliance with the duty like never before.

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A series of multi-firm reviews have taken place since the duty came into force as well as several section 166 investigations and, already, some enforcement action. It is little wonder firms are looking for ways to check their consumer duty compliance.

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To support this we offer a continued support package designed to help firms feel confident they are on the right track. Our service includes quarterly touch-point reviews, solution support and staff training. We also offer to fill the consumer duty champion role in your company.

Since the FCA Vulnerable Customer Guidance was released in 2021, the FCA has a genuine focus on how well firms identify and support vulnerable customers.

This can be seen in the FCA’s Consumer Duty work where the treatment of vulnerable customers is often called out in reviews, alongside the four outcomes.  To help with this ever growing focus we offer a vulnerable customer consultancy support package, including:

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1. Initial review of your compliance

2. Support with completing improvements

3. Staff training

4. Ongoing compliance checks​

Financial Difficulties Compliance Support: Initial review of compliance bolstered with support in completing improvements, staff training and ongoing compliance checks

BNPL regulation: as buy-now-pay-later firms move towards FCA compliance we’re on hand to support each step of the way: contact us today.