FCA Financial Compliance

The scope of compliance needs varies greatly from firm to firm, it is imperative that compliance documentation and monitoring plans are tailored to the exact requirements of your firms activity, that the regulations with which the firm must comply are clearly articulated and understood and that monitoring of compliance is pragmatically implemented on a risk-based approach ensuring efficient allocation of resources. Be your need to outsource your compliance function or to have a review conducted of compliance procedures we have the skills and resources available

Review of firm against evolving regulatory requirements to ensure continued compliance

Provision of tailored compliance manual and monitoring plan

On-going compliance support – particularly suitable for smaller firms where a committed number of hours per month of on-site support can be contracted in together with unlimited telephone and email support

What We Help With


Tailored documentation to fit the permission and risk profile of your firm including compliance manual and a risk-based compliance monitoring plan. We ensure the allocation of compliance resource is appropriate - focused compliance monitoring where the needs of your business demand. Additionally, we can provide procedure manuals for such as recruitment, training and competence, complaints handling and anti-money laundering, templates for disclosure documents, fact-finds and registers.

Outsourced Compliance

We can help you should you wish to entirely outsource your compliance function, perhaps you are a small firm without the internal resource to undertake yourself and are seeking an effective solution in terms of both cost and implementation. We offer a tailored solution to your compliance needs such that you only pay for the level of service you need, be that several days on-premises support a month down to one day a quarter, whatever your firms need.

Compliance Review

We can undertake a review of your existing compliance procedures and monitoring to determine whether existing permissions and monitoring are in compliance with regulatory requirements in force at the time of review. The review can also include file audits to check that procedures are being followed and identify good practices and weaknesses.

Technical Support

For example advice on particular products or regulatory reporting. May be available in various formats, including website, helpdesk and individual technical advice.

Support on Individual Issues

For example in dealing with a complaint, a financial promotion or a particular suitability letter.

Remedial Work

Helping to action remedial work required by the FCA.

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