Firms applying for regulatory permissions in the UK financial services sector face intense scrutiny over their financial resilience under the Investment Firms Prudential Regime or…
Compliance Consultant provides this definitive guide to navigating the FCA Consumer Duty distribution chain. Mid-sized financial services firms continue to struggle with how to map…
For mid-sized financial firms in London, managing the friction between commercial growth and stringent regulatory oversight is a constant operational challenge. Deciding how to structure…
SMCR | COCON 1.1.7FR | FIT Non-Financial Misconduct Toolkit Handle bullying, harassment and violence the way the FCA now expects. Templates, checklists and model policy…
Most firms assume the risk in their Part 4A permission is being out of scope. In the firms we have reviewed it rarely is. The…
Sponsored Content & Link Policy Compliance Consultant — Making Compliance Work Version 1.0 · September 2026 · Next review: September 2027 The short answer, so…
If your firm’s digital journey makes it easier for a customer to buy a high-risk product than to cancel a subscription, you are actively breaching…
Every time an FCA case officer raises an unanswered query, the statutory authorisation clock stops dead. At Compliance Consultant, we see mid-sized UK investment firms…
UK wealth managers face intense pressure to justify their ongoing advice charges under the Financial Conduct Authority (FCA) fair value rules. To prevent severe penalties…
Consumer Duty 2026: 5 Things Firms Still Get Wrong., e.g., The FCA’s Consumer Duty Champion was retired in February 2026 The Consumer Duty has been…
