Compliance solutions we offer

UK Authorisation Guidance

Our team will help your business apply for FCA Authorisation in the UK so that you are able to carry out regulated activities and help you achieve your business aims including prized growth and increased revenue. 

The FCA authorisation process can be challenging and complex and it is imperative that a complete, high-quality application with all the required supplementary documents and evidence are provided. This will ensure that your business increases the chances of your firm being approved by the FCA first-time round, avoid being rejected and losing the FCA Authorisation application fee which in most circumstances is non-refundable.

As well as providing expertise on how to apply for NPPR authorisation for non-UK fund managers looking to market their funds in the UK, and authorisation for Payment Services firms, we have a passion for helping firms looking for FCA Limited Permission Consumer Credit Authorisation, so if you're thinking how to apply for an FCA Consumer Credit Licence, the first step should be to contact us so we can help. 

Review, Analyse, and Develop Policies

We can help review, analyse and assess your existing business policies if you are already an existing authorised and regulated business, ensuring that your key policies are up to date with and aligned with current UK regulatory standards.

Alternatively, we can also help your business develop new policies from scratch to ensure that your business is able to demonstrate to the FCA that you have adequate systems and controls in place to carry out regulated activities.

For non-authorised firms seeking FCA approval, we can help you draft key regulatory policies such as Financial Communications and Promotions, Consumer Duty, Vulnerable Customers, Financial Crime and Anti-Money Laundering, and more. These are just some of the policies the FCA expect firms to have in place prior to being authorised.

Learn more about the Policy solutions we offer.

Tailored Risk and Compliance Consulting

We have experience and interaction with all types of regulated businesses across the financial services spectrum, with a particular focus on consumer credit, payment services, and investment management.

Looking through an FCA lens, our astute experts will help you identify key risk and compliance gaps across your entire business or within particular lines of business. We provide effective solutions on how to mitigate and remedy these gaps, ensuring that your business can demonstrate to the FCA that you are not only aware of your key risks and issues but also ready, willing, and organised to handle and mitigate them.

Our former FCA staff come from a range of backgrounds, including FCA Supervision, Asset Management, Consumer Credit, Payment Services, and Prudential, CASS, and Financial Resilience Specialists.

How, What, and When to Report and Notify

FCA authorised firms must submit regulatory returns and other notifications based on their business type and regulated activities. Our Services include:

FCA Systems Registration

We assist with registering for required FCA systems such as Connect and RegData.

Report Preparation and Submissions

Ensure timely preparation and submission of reports to avoid late return penalties.

Guidance on FCA Applications

Provide advice on submitting applications like SMC&R Approved Person Forms, Variation of Permission (VoP), Waivers and Modifications, Cancellations, and other ad hoc FCA applications.

If your firm has suffered a regulatory breach and needs to notify the FCA via its SUP 15 process, we offer urgent support and advice on the best approach to notify the FCA effectively.

 Enhance Compliance and Regulatory Awareness

Post-authorisation firms benefit significantly from our comprehensive training seminars, designed to help businesses and personnel enhance their understanding of regulation, risk, and compliance issues. Whether these issues are specific to your firm or relevant to the wider regulatory landscape, our seminars provide valuable insights and practical knowledge.

Identify and Bridge Knowledge Gaps

We collaborate with you to identify training and knowledge gaps among staff members, formulating the best approach to deliver effective training sessions. Additionally, we test and validate how well your frontline employees have absorbed the material.

Customised and Flexible Training Delivery

Our training and seminars are tailored to meet your firm's specific requirements and can be delivered in various formats:

• Remote Online Training
• Onsite at Your Premises
• At a Venue of Your Choice

We cover a wide range of subjects, from Regulatory Reporting to Client Assets (CASS), ensuring comprehensive coverage of essential compliance topics.

Contact Us Today

Ensure your firm stays compliant and well-informed. Contact us today to schedule a training session and discover how our tailored seminars can support your regulatory and compliance needs.

Insider Expertise from Former FCA Employees

Alumni Compliance consists exclusively of former FCA personnel with decades of collective knowledge and experience. Our team possesses deep technical and regulatory knowledge and an intimate understanding of how the FCA thinks, behaves, and operates internally.

Prepare for FCA Meetings with Confidence

If your firm has an upcoming meeting with the FCA and needs thorough preparation, or if you wish to leverage our insider knowledge of the FCA's personnel, policies, and processes to gain a tactical advantage, we can help. Our experts provide invaluable and intimate insight and advice to ensure you are fully prepared and confident.

Bespoke and Confidential Services

Contact us with your requirements, and we will provide a bespoke, discreet, and confidential service tailored to your needs. Our tailored insights will help you better understand and navigate the UK's Financial Conduct Authority.