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…
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…
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…
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…
