A compliance function on retainer.
Senior practitioners on retainer for any FCA-regulated firm, with gap analysis, policy reviews and FCA correspondence handled for you.
What is included
- Ongoing support from the same senior practitioner
- Gap analysis and internal health-check audit against the sourcebooks that apply to you
- Review of policies, systems and controls, then the changes made with your team
- Preparation for FCA information requests and visits
- Regulatory business plans and supporting documents
- Consumer Duty, vulnerability and financial crime self-assessments
What the FCA expects
Robust governance and internal controls (SYSC 4.1.1R); policies and procedures sufficient to ensure compliance, including by your appointed representatives (SYSC 6.1.1R); orderly records (SYSC 9.1.1R); and dealing with the FCA openly (PRIN 2.1.1R, Principle 11), including the notifications in SUP 15.3.1R.
Why it works
The same person sees your business every month, and the software keeps the file between visits. See Guardian.
Questions
Short answers, with the provision each one rests on.
Do you only work with consumer credit firms?
No. We work with any FCA-regulated firm: lenders and brokers, mortgage firms, insurance distributors, advisers, payment and e-money institutions, cryptoasset firms, funeral plan providers, claims management companies and principals with appointed representatives.
Can we pay monthly?
Yes. Monthly instalment plans are available for every engagement.
Talk to someone who has done your job.
A 30-minute call, no deck. Bring the problem; we will tell you what we would do.