It's not enough to just have a good policy, you have to convince people to actually follow it.

At Alumni Compliance, we specialise in helping businesses maintain and develop policies that align with UK regulatory standards. Whether you are an existing authorised and regulated business needing a policy review or a non-authorised firm seeking FCA approval, our comprehensive policy development services ensure that your business meets all necessary regulatory requirements. 

Whether we're creating fresh, new policies for you from scratch, or reviewing your business's existing ones, we provide this service with our former FCA hats on and looking at the issues through the lens of the Financial Conduct Authority.  

 For businesses already authorised and regulated, keeping your policies up-to-date with current UK regulatory standards is crucial. We will Review, Analyse, and Assess your existing policies by:

(1) conducting a thorough evaluation

(2) identifying any gaps or areas of improvement to comply with the latest regulations, and;

(3) ensuring that your key policies reflect current best practices and regulatory expectations. 

We provide detailed reports and actionable insights to help your business stay compliant and effective in its operations.

For businesses needing new policies, we offer expert guidance in developing comprehensive policies tailored to your operations. Working closely with your team to understand your business model and regulatory needs. Our services include Bespoke Policy Development where we create policies that demonstrate to the FCA that your business has adequate systems and controls in place to carry out regulated activities.

For non-authorised firms seeking FCA approval, it’s essential to have robust policies in place. Alumni Compliance can help you draft and implement key regulatory policies such as:

Financial  Communications and Promotions Policy

Ensuring all communications and promotions meet FCA guidelines and are clear, fair, and not misleading.

Consumer  Duty Policy

The new Consumer Duty is a flagship regulatory policy of the FCA. Alumni Compliance can help your firm develop policies that prioritise consumer interests and ensure fair treatment.

Vulnerable  Customers Policy

Implementing measures to identify and support vulnerable customers effectively.

Financial  Crime and Anti-Money Laundering (AML) Policy

Establishing strong policies to prevent financial crime and comply with anti-money laundering regulations.

These are just some of the policies the FCA expects firms to have in place prior to being authorised. Other examples of policies we can help create for you to submit as part of you authorisation application including: Anti-Bribery and Corruption Policy, Conflict of Interests Policy, and a Complaints Policy.

Our team’s extensive experience and insider knowledge of FCA processes ensure that your policies are not only compliant but also effective in managing risks and promoting best practices.

We have the technical expertise, and FCA "Theory of Mind". Our consultants are former FCA staff members with deep regulatory knowledge and practical experience of reviewing, analysing, assessing and providing critical feedback on regulated firms' regulatory, risk and compliance policies. 

We tailor our services to meet the specific needs of your business, and beyond policy development, we provide continuous support to  ensure your business remains compliant with evolving regulations.