This service is for FCA-regulated firms that need expert compliance input without the cost of a full-time compliance function, and for larger firms that need specialist support on a specific regulatory challenge or project.
Contact usThis service is for FCA-regulated firms that need expert compliance input without the cost of a full-time compliance function, and for larger firms that need specialist support on a specific regulatory challenge or project.
Practical support with implementing and evidencing the Consumer Duty, including the four outcomes, your board report and ongoing monitoring of customer outcomes.
Advice on the Senior Managers & Certification Regime, allocation of responsibilities, governance frameworks and management information.
Independent reviews of your compliance framework, with clear findings and documents that fix what we find.
Support with identifying important business services, setting impact tolerances and testing your firm’s resilience.
Compliance training for boards, senior managers and staff, delivered by people who worked at the regulator.
Help understanding what new FCA rules and consultations mean for your firm, and what to do about them.
Every engagement starts with understanding your business. From there, we agree a defined scope, whether that is a one-off review, a specific project such as a Consumer Duty assessment, or an ongoing retainer that gives you a compliance sounding board whenever you need one.
Tell us the challenge you are facing, or ask us to help you find it. We scope the work, agree a fixed fee, deliver practical recommendations and, where you want us to, implement them with you. You get advice written for your firm, in plain English, by people who know how the FCA thinks.
Regulator-informed advice, grounded in how the FCA actually supervises firms.
Defined scopes and fixed fees, agreed before work starts.
We have supported firms across sectors with everything from Consumer Duty implementation to full governance reviews.
The Consumer Duty is the FCA’s Principle 12, requiring firms to act to deliver good outcomes for retail customers across four areas: products and services, price and value, consumer understanding and consumer support. Firms must be able to evidence those outcomes, not just assert them.
Yes. The Senior Managers & Certification Regime applies to almost all FCA-authorised firms, scaled to size. Even in the smallest firms, senior managers carry personal accountability, so getting responsibilities documented correctly matters.
Yes. Many clients retain us as their external compliance resource, combining scheduled reviews with on-call advice, so expert help is there when questions arise.
FCA regulation and compliance can be complex, but we will help you navigate the process, allowing you to expand your business and create new revenue streams.
Contact us to talk to our friendly team about your requirements.