The SMCR Code of Conduct is freely available on the FCA Website, biut how did it come about? What’s the history of the SMCR and…
FCA Authorisation: We manage your regulatory application to the UK’s Financial Conduct Authority (FCA) by setting out a project plan, guiding you through the process…
When you need FCA Authorisation, you have 2 options. Option 1. Engage us to manage it for you. Option 2. You have to register on…
Preparing for Authorisation and Ongoing Compliance Requirements From The Top Niche UK FCA Compliance Consultants based in London Our company of FCA Compliance Consultants was…
As FCA Compliance Consultants we are always being asked to conduct Compliance Health-checks or Compliance Audits. A compliance health-check or compliance audit is one of…
Critical to any FCA Authorised or registered firm is the risk based compliance monitoring plan and FCA Compliance Manual. Financial services compliance monitoring has to…
Our Non-Disclosure Agreement Template There are, in fact, very few secrets in the City of London however, we do not blab to anyone about anything…
FCA compliance requirements for a start-up Compliance Consultant can assist you with all of the FCA handbook compliance requirements for your new business, from the…
A Regulatory Business Plan (RPB) Is Your Showcase To Demonstrate Understanding & Forethought. The FCA/PRA Regulatory Business Plan should demonstrate that the targets set by…
Senior Managers and Certification Regime (SMCR) The Senior Managers and Certification Regime (SMCR) replaced the previous UK approved Persons Regime (APR) in order to place…
