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COMPREHENSIVE FCA COMPLIANCE SUPPORT PACKAGE

The Financial Conduct Authority (FCA) regulates financial services in the UK, from mortgage brokers to investment fund managers. If your business carries out activities regulated under the Financial Services and Markets Act 2000 you will need to seek Direct Authorisation (or become an Appointed Representative of a Directly Authorised Firm) from the FCA.

Richdale Consultants’ experienced and personable compliance officers are well-respected within the FCA compliance sector. The team are well-versed in handling all aspects of the FCA application process for Direct Authorisation on our clients’ behalf. Similarly, we can provide guidance and support for financial service providers with existing FCA authorisation that are struggling or even failing to meet their ongoing compliance obligations – often due to unprecedented business growth.

At Richdale Consultants, we’re committed to offering the following services as part of our FCA Compliance Support Package:

FCA Application for Direct Authorisation

Let us handle every aspect of your application to become FCA authorised, including liaison with the FCA at every stage of the application process.

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Advising on the Necessary FCA Permissions

We help financial service providers ensure they have the correct FCA permissions to provide the product(s) and service(s) they sell to clients.

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Standing Data Check

We can liaise with the FCA on your behalf to make sure that the information the Regulator holds in relation to your business is accurate and up-to-date.

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Drafting and Advising on the necessary Policies and Procedures

Our compliance team can equip your firm with all requisite Companies House and Company setup documentation, before designing a bespoke Compliance Business Plan that outlines all aspects of your operation to the FCA.

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Advising on Data Protection and FCA Professional Insurance Requirements

Our experts will guide you in completing all mandatory data protection licensing and ensure your business is GDPR-compliant. We’ll also check your business has the requisite insurance coverage, in line with your statutory and FCA regulatory requirements.

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Advising on complying with employee related regulations i.e. SMCR.

We help fast-growing financial service providers with the entire structure and maintenance of their contractual obligations as employers.

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Drafting and Advising on the necessary Procedural Templates

We work with start-up and established financial service providers to draw up bespoke company plans, policies and procedures and offer ongoing maintenance of this documentation to maintain its effectiveness.

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File Checks and Quarterly or Annual Reviews

Choose from monthly, quarterly, annual and ad-hoc reviews of your company’s documentation to ensure it is up-to-date with your firm’s circumstances and the FCA’s regulatory framework.

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