Most compliance frameworks are built up over years: a policy written for authorisation here, a procedure added after an incident there. The result is often a patchwork with gaps nobody has noticed, until the FCA does.
Our FCA compliance gap analysis and policy drafting service finds those weaknesses first, and fixes them with documents your firm can actually use.
Contact usThis service is for FCA-regulated firms that want independent assurance their compliance framework matches their permissions and the current rules: firms preparing for authorisation or a variation of permission, firms that have grown or changed since their policies were written, and firms responding to FCA feedback.
We start by understanding your business model and permissions, then review your existing documents and how they operate in practice, because a policy that nobody follows is a bigger risk than no policy at all. You receive a gap analysis with prioritised findings, and we then draft or update the documents needed to close each gap. If the FCA ever asks, you have a clear record of a proactive review.
We review your framework the way the regulator would, because we have done exactly that from the inside.
A fixed fee for a defined scope, agreed upfront.
Our reviews have helped firms pass FCA scrutiny, complete authorisations and avoid the remediation exercises that follow regulator-found gaps.
It is a structured comparison of your firm’s current policies, procedures and controls against the regulatory requirements that apply to you, producing a prioritised list of gaps and the actions needed to close them.
At least annually, and whenever your business, permissions or the rules change. The FCA expects policies to be living documents with evidence of review, not artefacts from your original authorisation.
Yes. Whether you need a single financial promotions policy or a full compliance manual, we draft documents tailored to your business rather than adapting generic templates.
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.