FCA compliance & business support
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The Richdale Journey

Since the establishment of the FCA in 2013, the company’s founder, Jacob Bernstein, saw first-hand the difficulties financial service providers faced with maintaining their FCA compliance, resulting in the creation of the “Richdale Journey”.

The ‘Richdale Journey’ has been successfully designed, delivered and adopted by many financial service providers throughout England and is continuing to be adopted by an ever-growing number of financial service providers.

Our approach supports financial service providers at every stage of their progression:

Directly Authorised

Already Directly Authorised?

We understand that maintaining a regulatory environment is burdensome and many brokers feel that this takes away focus from the core business.

At Richdale, we work with businesses already directly authorised by the FCA who have struggled to maintain their continued compliance, often due to business expansion or lack of support.

You’ll receive a dedicated Richdale Associate, who will always act as your direct point of contact and your business will receive the following key valuable services:

  • Auditing of your existing required plans, policies and procedures;
  • Monthly, quarterly and ad-hoc reviews of your compliance standards;
  • Annual reviews to ensure your continued compliance;
  • Completion of all GABRIEL reports ahead of schedule;
  • Procedural documents and subscriptions to necessary software and programs to ensure the smooth compliance of your operations all being monitored by Richdale.

Richdale will alleviate the burdens of compliance, allowing you to focus on your core business.

Seeking to become Directly Authorised?

For financial service providers that aren’t already authorised, regulated or registered with the FCA, Richdale will handle the entire process on your behalf with our comprehensive Compliance Support Package.

You’ll also receive a dedicated Richdale Associate, who will act as your direct point of contact throughout the application process, liaising with the FCA where appropriate.

Not only will our team advise on the necessary permissions for your business model, our experts will then draft the required plans, policies and procedures and complete all the requisite application forms.

Once your business is directly authorised, we don’t stop there:

  • Monthly, quarterly and ad-hoc reviews of your compliance standards;
  • Annual reviews to ensure your continued compliance;
  • Completion of all GABRIEL reports ahead of schedule;
  • Procedural documents and subscriptions to necessary software and programs to ensure the smooth compliance of your operations all being monitored by Richdale.

The Richdale Network – Appointed Representatives

Whether you’re already an existing Appointed Representative of another principal business or you’re looking to embark on a rewarding career within the financial service sector, at Richdale we have the complete Brokerage Support Package for you.

With extensive FCA compliance expertise, coupled with experience in Mortgage, Protection, General Insurance, we offer an efficient and supportive network for third-parties wishing to offer financial services as an Appointed Representative of Richdale Brokers and Financial Services Ltd.

By operating under the authority of Richdale, your organisation does not require Direct Authorisation from the FCA and will benefit from trading under a larger and reputable network.

About Us

Meet The Team

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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