FCA compliance & business support
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Richdale Consultants have continued to grow their presence within the general insurance sector. We have guided many new entrants to direct authorisation with the Financial Conduct Authority (FCA) and resolved ongoing FCA compliance issues for well-established insurance brokers and other third-parties that work in insurance mediation, such as vehicle dealerships.

Most importantly, your dedicated Richdale compliance officer and account manager will understand the need to deliver the right levels of customer service to maintain credibility and integrity within the insurance industry.

Our clients embark on the Richdale Journey because we offer qualified and bespoke compliance support and guidance that helps all types of general insurance firms maintain their regulatory requirements whilst remaining profitable, including:

  • Residential and commercial brokers;
  • E-commerce insurance brokers;
  • Price comparison website brokers;
  • Motor trade intermediaries.

Get in touch for a no-obligation consultation

Our team are delighted to offer an impartial consultation on your compliance requirements, with no obligation to sign up to any of our services.

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Typical compliance tasks for our general insurance clients

  • Maintain compliance with the Insurance Distribution Directive
    The Insurance Distribution Directive outlines the regulatory requirements for firms designing and selling insurance products. Your dedicated Richdale compliance officer can help interpret the new Directive and what it means for your business and will then work with you to ensure your company maintains its ongoing compliance.
  • Senior Manager and Certification Regime (SM&CR) support
    SM&CR replaces the previous Approved Persons Regime and is designed to minimise harm to consumers and enhance the overall integrity of the insurance industry. Richdale’s compliance officers can consult with firms solo-regulated with the FCA to prepare for SM&CR and enhance their accountability for conduct and competencies.
  • Review of performance against FCA expectations
    Your dedicated compliance officer will assess your company’s recent performance and compliance against the benchmark expectations outlined by the FCA.
  • Review of policies and procedures
    We will also conduct a comprehensive review of your existing policies and procedures, to ensure that they are up-to-date and reflect industry best practice.
  • Bespoke compliance monitoring
    As part of our Compliance Support Package, we can design and implement bespoke programmes for monitoring the FCA compliance of your business; pinpointing areas for urgent action and long-term improvement.
  • Submission of regulatory returns
    Can’t keep up with regulatory submissions? Let your dedicated Richdale Account Manger handle all of the paperwork and prudential compliance matters on your behalf.
  • Compliance training
    Whether your business has just achieved FCA authorisation or is struggling to maintain its compliance and regulatory obligations, Richdale’s compliance consultants offer dedicated compliance training sessions. We train business owners and employees to better understand their responsibilities post-authorisation, consulting on risk management and compliance monitoring to maintain FCA compliance for credit brokers and lenders.
  • Guidance on changes to business structures
    If your business changes its internal infrastructure or is considering rolling out a new sales initiative, we can offer consultancy on the best approach to achieve your objectives in a compliant manner.
  • FCA Authorisation
    Richdale boasts years of experience in preparing and filing applications for intermediaries seeking direct authorisation with the FCA. Our specialist team understands what the Regulator is looking for and knows how to address any areas of concern your business may have.

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