We manage your regulatory application to the UK’s Financial Conduct Authority (FCA) by setting out a project plan, guiding you through the process and keeping you up to date with all the milestones and timelines involved.

You will have quality advice and assistance at all stages of the authorisation process, which includes preparation, filing and ongoing conduct of the application. We are all professionally qualified and experienced in this area of regulated business.

• Advising you on the FCA Regulated activities for which you will need FSMA Part IV permissions
• Advising you on the different FCA Regulatory obligations specific to your Regulatory Activities
• Advising you on the FCA Regulatory Capital obligations (the money you need to keep in reserve)
• Advising you on the FCA competency requirements for senior management and other staff
• Assisting you in the preparation of your Regulatory Business Plan (or creating one with you for an additional cost)
• Assisting in the completion of the necessary forms, including ownership disclosure forms and FCA Approved Persons/Senior Management Function Forms
• Advice on corporate governance, systems and controls
• Providing you with practical and effective regulatory compliance documentation including required policy templates.
• Finalise your Compliance Monitoring Programme (and set it up in Pathfinder, our software, if you select it)
• Liaising with your other advisers and with the FCA
• Project managing your Firm’s FCA application from start to finish

Good

Based on 49 reviews

Gerry Neu

2023-06-15

Lee, in particular, but the whole team has excellent FCA experience and provide the context for solid advice. What stands out, especially, is the practical approach and the understanding of compliance within a commercial environment. Much appreciated assistance in an FCA application, but also policies and procedures and MLRO activity.

SRUTI SOURAV SARANGI

2023-02-21

Compliance Consultant had imparted two days intense training on key compliance subjects . With highly experienced trainer, excellent content and captivating sessions they delivered the best to our team. We are thankful to Compliance Consultant for their services.

Simon Dhillon

2022-08-23

I worked with Compliance Consultant for 2 years and was involved in a variety of projects for various firms, both start-ups and established. Lee was a pleasure to work with and was very knowledgeable about all aspects of compliance, this provided reassurance that client work was carried out to a high standard. The team at Compliance Consultant worked very closely and was always on hand to provide assistance or advice on specialist areas for eg FCA Authorisations or Audits.

SMTAKS

2022-08-15

In a high pressure situation, Compliance Consultant stepped in to help us further understand the requirements and completely changed the authorization documentation urgently needed.

Angela Young

2022-01-27

First class service in every way. Whilst applying for FCA authorisation the original compliance company we were working with let us down. Feeling despondent, Lee from Compliance Consultant stepped in and assured us we would have our application submitted on time. Suzanna was our direct contact and she worked tirelessly to ensure we met our deadline. Not only did we meet our deadline, but our completed application was submitted to the FCA, 1 week ahead of schedule. Both Lee and Suzanna took the time to communicate clearly the detail within each section of the application. They went above and beyond and felt more like friends by the end of the process. I would highly recommend Compliance Consultant both in terms of professionalism and value for money. We look forward to working with Compliance Consultant in the future.

Grant Townshend

2022-01-10

We approached Lee between Christmas & New Year about some compliance work we urgently needed completing for a newco setup. He communicated very clearly what we would need and why. Once instructed, he delivered this on time and cost effectively. Recommended.

Mohamed Yassin

2021-10-28

Outstanding job on every level. We are very pleased with their work. Done on time, done on budget and they know what they are doing. They handled everything with extreme professionalism and delivered our project in a timely manner. We couldn't be happier with the end outcomes, Lee and his team were extremely thorough, understanding and responsive throughout each stage of our contract. We look forward to working with them in the future on our project. Thank you, Lee and Compliance Consultant team.