Ongoing Compliance Support

We provide a full scope FCA compliance monitoring service which includes completing and submitting periodic regulatory returns to the FCA via their RegData system as well monitoring other aspects of the firms regulated activities to ensure conducted in line with FCA rules. 

 

Our standard service covers:

  • Ensuring that the firm has up to date policies and procedures fully compliant with FCA requirements

  • Provide ongoing support via phone or email for any compliance related queries

  • Undertake all RegData returns

  • Undertake firm Attestation returns via Connect

  • Ongoing review per the Compliance Monitoring Plan including but not limited to:

    • Advertising/promotions – web site etc

    • Record keeping

    • Complaint recording and handling

    • Document storage and retrieval

    • Anti Money Laundering requirements

 

Our engagement works on a one month rolling contract with pricing dependent upon type of authorisation as follows:

    • Limited Permission - £35 per month

    • Full Permission Credit Broker - £90 per month

    • Insurance and Mortgage Brokers - £150 per month