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COMPREHENSIVE FCA COMPLIANCE SUPPORT PACKAGE

The Financial Conduct Authority (FCA) regulates financial services in the UK, from mortgage brokers to 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’s experienced and personable team are well-respected within the FCA compliance sector. We 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.

FCA Applications

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

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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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FCA Reporting

We will liaise with the FCA on your behalf to ensure that all required regulatory reporting, is accurate, and completed in a timely manner.

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Plans, Policies & Procedures

Our compliance team will equip your firm with all requisite regulatory plans, policies and procedures & will ensure the implementation of these within your firm.

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Data Protection & PII

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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SMCR, CPD & Employee Regulations

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

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File Checks & Reviews

We will implement a system of periodic and rigorous compliance checks and reviews, performed by your dedicated Richdale team.

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