FCA Compliance

Pre-FCA Authorisation Services

If you are planning to apply for authorisation by the Financial Conduct Authority in the UK, Concordo can guide you through our pre authorisation services. We can advice you on various requirements you need to fulfil during authorisation. The aim is to hold your hand and assist you in understanding cumbersome but compulsory requirements that will be applicable to your application. We offer advice on the following elements before you start preparing the authorisation pack.

  • Risk Assessment
  • Regulatory Business Plan
  • Governance and Organisational Structure
  • Capital Requirements
  • Passporting (Branch / Cross-border)
  • Approved Persons

FCA Authorisations

Our professionals have vast experience in successfully dealing with different kinds of applications. So, if you are a small firm or a medium or large size, we can efficiently oversee your FCA authorisation applications. We have worked and assisted different kinds of organisations regardless of their size.

  • Investment / Asset Management
  • Corporate Finance
  • Insurance Intermediaries
  • Mortgage Brokers and Home Finance
  • e-Money
  • Small and Authorised Payment Institutes

Ongoing Compliance Support

Concordo offers continuous through combination of on-site visits, telephone and emails. We do not offer fixed compliance support packages like Silver, Gold or Platinum because we understand the requirement of each client is different. Therefore, we aim to build a package with your participation so that you can use your resources efficiently and the package is most cost effective for you.

  • VoP Application Submissions
  • Compliance Monitoring
  • AML Audit
  • Client Categorisation Audit
  • Regulatory Reporting
  • Approval of Financial Promotions
  • CASS Health Check (Client Money Audit)
  • TCF Audit (Treating Customers Fairly)
  • SYSC Audit
  • ARROW Audit Prep

Regulatory Qualifications

Concordo provide training and revision courses for the following qualifications. To support theses qualifications we can offer flexible learning packages: Full Learning programme, 1 week intensive training or revision workshop, virtual classrooms etc

Mortgage sector 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)
Financial sector qualifications
  • Diploma in Financial Advisers (ifs)
  • Diploma in Regulated Financial Planning (CII)
  • Diploma in Professional Financial Advice (Calibrand)

Policies and Procedures

After successfully authorisation by the FCA, you will be expected to be compliant continuously and make sure that your policies and procedures are up to date. Concordo can assist you in drafting, reviewing and keeping up to date with various policies, acts and legislations that are applicable to your firm.

  • Bribery Act
  • Complaints Handling
  • Know Your Client
  • Remuneration Code
  • Treating Customers Fairly
  • Money Laundering Regulations
  • Conflicts of Interest
  • Data Protection
  • Compliance Monitoring Programme
  • Market Abuse & Insider Dealing
  • Conflicts of Interest
  • Gifts and Entertainment
  • Outsourcing


Concordo is able to deliver bespoke training at your place of business or remotely on a wide range of compliance related subjects. Our experts have trained compliance managers and directors of various firms to bring their knowledge up to date.

  • Bribery Act
  • Introduction to FCA regulatory structure
  • AML (Anti-Money Laundering)
  • Approved Persons regime


     Home    l    About Us    l    Services    l    QuickBooks    l    News    l    Useful Links    l    Contact Us    l    Site Map     l    Disclaimer    l    Privacy Policy
Concordo Limited, Suite 902 Kemp House, 152-160 City Road, London EC1V 2NX. Registered number 08067246.                                             All rights reserved © 2014 Concordo Limited