In today’s complex regulatory landscape, FCA-authorised firms face dual challenges: implementing the Consumer Duty and adhering to the Senior Managers & Certification Regime (SMCR). Our suite of services provides robust support for both, ensuring your firm meets regulatory expectations while fostering a culture of accountability and customer-centricity.

Consumer Duty Compliance

Our offers directly address key Consumer Duty requirements:

1. Annual Assessments: Our Consumer Duty Report Assessment service helps you evaluate compliance and prepare board reports, with attractive initial discounts and ongoing pricing.

2. RegTech Solutions: 12 months of free Regulatory Reporting Assistance enhances your ability to monitor, review, and evidence outcomes.

3. Policy Reviews: Our one-off Policy and Procedure Review ensures your frameworks align with Consumer Duty expectations.

4. Ongoing Support: Services like Impact Assessments of New Regulations and Risk Assessment Framework Reviews provide continuous compliance assistance.

 

SMCR Alignment

Our services also support SMCR compliance:

1. Clear Responsibility Allocation: Our assessments and reviews help delineate senior manager responsibilities.

2. Fitness and Propriety: Regular reviews and assessments support ongoing evaluation of staff competence.

3. Conduct Rules Implementation: Our guidebooks and policy reviews aid in embedding Conduct Rules across your organisation.

4. Documentation Support: Our services assist in maintaining up-to-date Statements of Responsibilities and Responsibilities Maps.

5. Helps You Evidence “Reasonable Steps”.

 

Integrated Approach

By combining Consumer Duty and SMCR support, our services help you:

• Foster a culture of accountability and customer focus

• Generate evidence of compliance for both regimes

• Continuously improve your regulatory frameworks

• Access expert knowledge cost-effectively

Our comprehensive FREE package, including discounted assessments, free periods for critical services, and ongoing support, provides exceptional value for firms navigating these complex regulatory requirements.

As a Subscriber to our “Compliance Services Club” We currently offer,  (subject to terms and conditions);

• Consumer Duty Report Assessment and Written Report – A 50% Discount initially of Value £1,800 then Special price of £600 each year thereafter for 3 years.

• Copy of “Compliance Doctor’s Guidebook” (Published Oct 24) £40 – One off – eBook – As Sold on Amazon

• Policy and Procedure Review with Written Report – Value £300 – One off

• Variation of Permission Support – Discounted 50% worth £2,250 – one off

• Review of Your Firm’s “Risk Assessment” framework with written report – A 50% Discount initially of Value £2,800 then Special price of £1,000 each year thereafter for 3 years.

• For All New Clients* Existing “Bonuses” Value £9,999+

• “3 Months Bronze Retainer” Initially free Worth £750 then 50% off any package for 3 years, payable annually.

• New Authorisations – “FCA Regulatory Business Plan Creation: The Secret Sauce for Success” Free eBook Value £40. PLUS “Anti-Money Laundering and Counter-Terrorism Financing: How to Protect Your Business” Free eBook Value £9.99 PLUS “Build Your Compliance Monitoring Plan” Free eBook Value £9.99. All  As Sold on Amazon. PLUS Resubmission Guarantee is available on all applications.

All New Clients* Benefit from choice of;

• Impact assessments of new regulations 12 months Free Worth £1,440 discounted 50% £720 thereafter payable quarterly for 3 years.

• Regulatory Reporting (RegTech) Assistance 12 months Free Worth £1,440 discounted 50%, £720 thereafter payable quarterly.

Invest in your compliance future today and ensure your firm not only meets but exceeds regulatory expectations. Sign Up or Update Your Details Here!

* Client is defined as a firm paying £2,000 or more for a service or product. Minimum payments terms apply. Minimum is currently £5,000 to be eligible for payment plan options. For financial services firms or authorisation applicants only.