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 [sp_easyaccordion id=”61808″] 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…
Helping you obtain FCA Authorisation We can assist you with your FCA authorisation application from beginning to end We have aided hundreds of UK financial…
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…
The UK is among the world’s largest and most open economies, whose strength is based on extensive and productive relationships around the world. Government Ministers…
Where Does Your Budget Go? When Engaging Consultants, Two Of The Major Expenses Are Idle Staff and Premises Most Consultancies have staff that are “Off-Project”,…
