When preparing an application for direct authorisation, firms must submit a Regulatory Business Plan (RBP) that satisfies strict regulatory standards rather than investor expectations. Compliance…
Compliance Consultant provides this definitive guide to navigating the FCA Consumer Duty distribution chain. Mid-sized financial services firms continue to struggle with how to map…
Sponsored Content & Link Policy Compliance Consultant — Making Compliance Work Version 1.0 · September 2026 · Next review: September 2027 The short answer, so…
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…
Consumer Duty 2026: 5 Things Firms Still Get Wrong., e.g., The FCA’s Consumer Duty Champion was retired in February 2026 The Consumer Duty has been…
For mid-sized UK financial firms securing FCA authorisation or managing ongoing regulatory obligations in 2026, the choice between a specialist FCA compliance consultancy like Compliance…
Compliance Audit & Reviews in 2026: Your Compliance Monitoring Programme Is Now Your Only Defence — So Why Does It Only Measure Activity? Making Compliance…
In the Financial Conduct Authority’s review of Year 2 Consumer Duty Board reports, a clear pattern emerged: having a vulnerable customer policy on file is…
Grading your own homework will no longer satisfy the regulator’s fair value requirements. If your firm’s latest Consumer Duty board report relies entirely on internal…
“From Wyoming to Westminster: The UK Stablecoin Authorisation Reality Behind the Headlines” description: “What HM Treasury’s 21 April 2026 draft Statutory Instrument actually does —…
