A bit about us. Compliance Consultant was established in 2000 to provide a pragmatic and effective alternative solution to firms needing FCA (FSA as was)…
In Early 2022, the FCA laid out its thoughts on what companies need to be considering when wanting to make these essential compliance appointments in…
FCA Regulatory Assessment Audit Other Posts In This Series Business Risk Assessment Methodology Compliance Audit: What To Look For In Strategy Document Thoughts on…
Board of Directors – Understanding and Further Training? What does the Board of Directors do? It provides leadership of the organisation within a framework of prudent…
In today’s busy world, firms like yours require a swift, flexible, supporting and active response regulatory consultancy service, which will specifically include a broad array…
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…
Compliance Monitoring Plan Compliance monitoring helps you understand the risks in your business. Done well, it can help you pinpoint weaknesses in controls and provide…
What is compliance monitoring? Compliance monitoring is the quality assurance testing carried out over the day to day activities of the business. The compliance monitoring…
Risk Based Annual Compliance Monitoring Plan Template – Part of Your Compliance Monitoring Framework
Critical to any FCA Authorised or registered firm is the risk based compliance monitoring plan and FCA Compliance Manual. Financial services compliance monitoring plan has…
THE IMPORTANCE OF AUTHORISATION Authorisation is one of the key techniques used by the FCA to regulate financial services. It attempts to efficiently identify and…