Mid-sized UK investment firms are being asked to evidence ICARA stress testing, Consumer Duty outcomes, new non-financial misconduct standards and operational resilience at the same…
Most UK financial firms measure only direct compliance spend, around 2.6% of operating costs. TheCityUK and PwC put the true burden above 13%. We break…
Your compliance officer resigns on Friday. Who files your FCA returns on Monday? For mid-sized investment firms, one in-house hire costs £90,000+ in year one…
At Compliance Consultant, we regularly see mid-sized financial services firms struggle to translate raw customer grievances into actionable board-level Management Information (MI). A board pack…
PS26/6 lets firms issue certificates by email, fold recertification into appraisal and streamline reviews where nothing has changed. HM Treasury plans to remove the Certification…
outsourced compliance services Many UK financial firms drastically underestimate their regulatory overhead by looking only at direct compliance function expenditures, which typically average just 2.6%…
Firms applying for regulatory permissions in the UK financial services sector face intense scrutiny over their financial resilience under the Investment Firms Prudential Regime or…
Most firms assume the risk in their Part 4A permission is being out of scope. In the firms we have reviewed it rarely is. The…
If your firm’s digital journey makes it easier for a customer to buy a high-risk product than to cancel a subscription, you are actively breaching…
Every time an FCA case officer raises an unanswered query, the statutory authorisation clock stops dead. At Compliance Consultant, we see mid-sized UK investment firms…
