Our Services

For Credit Brokers we can assist with your FCA compliance regulatory reporting requirements, we keep a track of the reports you have to complete and the due dates and contact you in advance to gather the information and can submit the reports on your behalf. (based on a 12 month subscription, Limited Permission firms from £55 plus vat per month and Full Permission firms from £100 plus vat per month)

As well as the standard CCR, REP and FIN reports that Credit Brokers have to submit at least annually all firms have to complete a Firm Attestation and confirm any Directory Persons details. (this is included in the Regulatory Reporting Service)

To help maintain your FCA compliance we can also assist you with any changes required to your firm details on the FCA register e.g. change of email address or telephone number or the contact for complaints. (this is included in the Regulatory Reporting Service)

We have partnered with a leading provider of financial services eLearning to provide a number of courses which are a must for those who hold a Senior Manager Function with the FCA (SMF) or in general to all staff who work for a regulated firm and are caught under the Senior Manager & Certification Regime (SM&CR). Assisting with FCA compliance and the requirements under the Senior Managers & Certification Regime.

Working with our associate we can also provide retained FCA compliance support, in the area of Claims Management. Whether that be reviewing financial promotions, reviewing policies and procedures, assisting with complaints, website checks etc. this service is based on an hourly rate and you choose how many hours of support you need per month.

With our associate, we also support firms looking to become FCA authorised in the Credit Broking and Claims Management sectors. Also, those firms who are already regulated and are looking to complete a Variation of Permission or a Change in Control (section 178) or adding and removing Senior Manager Function holders i.e. SMF3 etc. We can also assist with ad-hoc FCA compliance support as and when required.