Senior Managers & Certification Regime
Senior Manager & Certification Regime applies to all FCA regulated firms. The aim of SM&CR is to ensure that individuals across firms are more accountable for their conduct and to ensure that individuals can demonstrate that they fully understand their responsibilities under FCA regulation.
Read MoreRegulatory Assurance
Once you are FCA authorised, you need to evidence your ongoing compliance. We’ll work with you and your company to show you how to maintain your compliance with FCA regulation which is needed for you to grow your business effectively. We know that your bottom line is important and that means you want to expose yourself to as little regulatory risk as possible. Our exceptional service means that we will help you every step of the way, ensuring that you and your staff know exactly how to meet the specifications of all elements of FCA regulation.
Read MoreCompliance Training
As an authorised firm you need to ensure that your employees are equipped with the knowledge and tools they need to successfully support your business. The purpose of compliance training is simply to enable your business to stay compliant. Our courses enable your business to remain fully compliant and operational. It will provide you with a clear understanding of what the FCA expect from your business. Failure to comply with the rules can mean the loss of authorisation and result in penalties.
Read MoreGet in Touch
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