Unpacking FCA Principles: A Comprehensive Guide for Businesses In the ever-changing landscape of financial services, understanding the FCA principles is imperative for any business aiming…
The Financial Conduct Authority (FCA) has intensified its scrutiny of ongoing services in the wake of the Consumer Duty. This proactive stance has had significant…
What is CONC – An Introduction Delving into the latest updates in the Consumer Credit Sourcebook (CONC), it becomes evident that financial firms need to…
Securing Financial Conduct Authority (FCA) authorisation is a pivotal step for firms providing financial services in the UK. This rigorous process ensures that businesses operate…
Building a Culture of Compliance: Best Practices for Financial Professionals, serves a paramount purpose: to equip financial professionals in the United Kingdom with invaluable insights…
FCA Senior Management Coaching Course Compliance Consultant are proud to provide a course suitable for new FCA Authorisation Applicants or anyone applying for a senior…
Compliance Pain Points Q&A If you need any assistance, in strictest confidence, call us today on 0800 869 0190 or email info@complianceconsultant.org
What is a Past Business Review (PBR)? If your firm has identified potential mis-selling and is required to undertake a Past Business Review (PBR), you…
The FCA’s complaint handling requirements and the Financial Ombudsman Service (FOS). The FOS is an independent adjudicator of consumer complaints linked to the supply of…
So What Are The Ongoing Requirements After FCA Authorisation? There are a number of areas that firms should pay attention to and be accurate in…
