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…
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…
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…
