The Richdale Journey
Richdale Consultants have developed a unique approach to supporting wholesale and retail financial service providers throughout their regulated journey.
FCA compliance is the core of our service. We provide guidance and support on helping our clients fulfil their regulatory responsibilities to allow them to focus on looking after their own clients’ needs.
Our tailored compliance services cater for Directly Authorised financial service providers, – and those looking to become Directly Authorised – as well as brokers who are existing Appointed Representatives or new to the market:
Join our Compliance Support Package
We work with Directly Authorised financial service providers to ensure they are providing their services in a compliant manner, avoiding an unwanted breach of FCA rules. Our dedicated compliance officers will also conduct periodic reviews of our clients’ compliance standards, pinpointing areas for urgent action and long-term improvement.
If you are a lender, broker, intermediary, investment manager or payment service provider that’s not yet Directly Authorised with the FCA, our team can handle all aspects of the application process on your behalf. We can advise on the necessary permissions for your business model and draft the plans, policies and procedures needed to maintain long-term compliance.
Become a part of our Network
Our combined expertise in compliance and experience in the Mortgage, Insurance and Credit Broking markets has enabled us to create an efficient and supportive network for aspiring Brokers. Businesses and individuals that are not Directly Authorised with the FCA can carry out specific regulated activities under their own name as an Appointed Representative of Richdale Brokers and Financial Services Ltd.
All Appointed Representatives within our Network can offer mortgage, protection and insurance advice and arrange deals under their brand and corporate identity, whilst ‘outsourcing’ all of the compliance and regulatory requirements to a nominated account manager, under Richdale’s license.
Interested in finding out more?
We look forward to hearing from ambitious and innovative financial service providers new to the market. If you’d like to know more about any of our compliance services, please contact our friendly and experienced team today and subscribe to our email newsletter for regular updates on the industry.