FCA compliance & business support
in Richdale’s safe hands!
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.
Let us handle every aspect of your application to become FCA authorised, including liaison with the FCA at every stage of the process.Find out more
We help financial service providers ensure they have the correct FCA permissions to provide the product(s) and service(s) they sell to clients.Find out more
We will liaise with the FCA on your behalf to ensure that all required regulatory reporting, is accurate, and completed in a timely manner.Find out more
Our compliance team will equip your firm with all requisite regulatory plans, policies and procedures & will ensure the implementation of these within your firm.Find out more
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.Find out more
We help fast-growing financial service providers with the entire structure and maintenance of their contractual obligations as employers.Find out more
We will implement a system of periodic and rigorous compliance checks and reviews, performed by your dedicated Richdale team.Find out more
Richdale is the trading name of Richdale Consultants Ltd and Richdale Brokers and Financial Services Ltd who are authorised and regulated by the Financial Conduct Authority (Firm Reference Number: 769876).
This website is designed for professionals only and is not intended for public use. Nothing on this website should be considered as advice and you must always seek your own independent legal and financial advice.
Copyright © 2021 Richdale Consultants Ltd. All Rights Reserved.
Necessary cookies are absolutely essential for the website to function properly. This category only includes cookies that ensures basic functionalities and security features of the website. These cookies do not store any personal information.
Any cookies that may not be particularly necessary for the website to function and is used specifically to collect user personal data via analytics, ads, other embedded contents are termed as non-necessary cookies.