FCA compliance & business support
in Richdale’s safe hands!

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Supporting your business on its compliance journey, every step of the way.

At Richdale, we provide specialist compliance advice and services on all aspects of regulation mandated by the Financial Conduct Authority (FCA), as well as other government regulations. Our experts work together with new and established financial service providers to help ensure that they are compliant in all areas of their organisation on an ongoing basis.

The regulation of wholesale and retail financial services is a positive step for consumers. It helps ensure they are dealing with responsible, trustworthy and transparent service providers; giving the client a fairer deal, whilst protecting and enhancing the integrity of financial services in the UK. Our specialised services assist the financial service provider complying with their ongoing regulatory requirements.

Richdale’s dedicated Associates work with a wide range of financial services providers, ranging across a wide spectrum of industries including mortgage, protection & general insurance brokers to e-money /payment service providers.

We assist authorised firms in creating a compliant business framework and maintaining the daily compliance requirements as well as assisting new firms in achieving direct authorisation with the FCA or allow them to operate under the authorisation of the Richdale Network as an Appointed Representative.

Ultimately, we are committed to helping our clients manage their new and ongoing regulatory obligations and educating and empowering staff with compliance training bespoke to the needs of each individual business.


Whether you are;

  • starting out in financial services;
  • an Appointed Representative of another Principal firm;
  • Directly Authorised with the FCA but struggling to meet your ongoing regulatory obligations,
  • requiring general assistance and advice with your compliance,

… Richdale Consultants are here for you.

We’ve helped many new and established financial service providers like you along the “Richdale Journey” towards consistent FCA compliance and/or direct authorisation. All it takes is an initial consultation to get the ball rolling; a consultation that won’t cost you a penny but is absolutely invaluable in providing you with:

  • Information about our comprehensive Compliance Support Package for those seeking direct authorisation with the FCA.
  • Understanding about the Richdale Journey designed, delivered and adopted by many of the UK’s leading financial service providers.
  • Appreciation of our complete Brokerage Support Package to allow your business to operate under the authority of Richdale as an Appointed Representative to focus on doing what you do best.


We offer experienced and personable compliance consultancy to mortgage lenders and brokers, helping you to become directly authorised with the FCA and to manage your ongoing regulatory obligations.

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We guide residential and commercial brokers, as well as e-commerce and price comparison website brokers, towards direct authorisation with the FCA and can resolve ongoing FCA compliance issues for well-established insurance brokers too.

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Whether you’re seeking Limited or Full permission for undertaking consumer credit activities, Richdale’s compliance associates can help you prepare your FCA application and consult on your firm’s ongoing compliance, governance and risk frameworks.

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Our compliance associates work with payment service providers to mitigate the security risks and protect the rights of their users using bespoke compliance solutions designed with the Regulator firmly in mind.

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We support innovative clients at the forefront of the fintech industry. Our compliance associates work closely with ambitious fintech firms looking to launch game-changing products whilst maintaining their regulatory and compliance obligations with the FCA.

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Our experienced and personable compliance associates can make sense of the FCA’s stringent regulations to firms that offer investment portfolio management, portfolio creation, discretionary management and investment advice.

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We work with a range of charity types to achieve and maintain appropriate compliance standards, providing confidence to both your charity and your donors in the standards of governance and procedures of your charity

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