FCA Compliance

PROACTIVE REGULATORY APPROACHWe are proud to have an excellent record for successful FCA authorisations

FCA ComplianceFCA compliance consulting services

 

We are a specialist provider of FCA compliance consultancy services to regulated firms or the firms that are planning to obtain authorization. Our clients include consumer credit firms, corporate finance firms, investment / fund managers, payments institutions, home finance and insurance intermediaries.

Authorization and variance of permission

•   Regulatory business plan

•   Permissions classification

•   Pass porting

•   Risk management

•   Business continuity planning

•   Controlled functions registrations

•   Capital Requirements

•   Compliance monitoring plan

•   Financial forecasting

•   ICAAP

 
 
    Policies and documentation
 

•   Compliance manual

•   Personal data protection

•   Financial crime and market abuse

•   Bribery prevention framework

•   Treating customers fairly

 
 
    Review, audit and reporting
 

•   Annual ICAAP review

•   ONA notifications

•   Compliance Monitoring

•   GABRIEL Reporting

•   CASS Health Check (Client Money Audit)

•   TCF Audit (Treating Customers Fairly)

 
 
    Training and qualifications
 

•   Certificate in mortgage advice & practice (ifs)

•   Certificate in mortgage advice (CII)

•   Certificate in regulated equity release (ifs)

•   Diploma in mortgage advice and practice (ifs)

•   Diploma in financial advisers (ifs)

•   Diploma in regulated financial planning (CII)

•   Diploma in professional financial advice (Cali brand)