Ongoing Compliance

Once authorised FCA ASSIST work with you to guide you to comply with the UK FCA regulatory framework and we are there to be your advisors and partner as you launch new financial services and products into the market. Ongoing compliance is the key focus. To that effect the FCA will regularly (up to quarterly) review your activity. We offer various options to ensure your business remains compliant with the evolving regulatory framework and we can help you assess compliance of any specific financial campaigns, new ideas, offerings or new products.

Package Element

FCA ASSIST Organisation Compliancy Training Package

We can provide a training programme for your organisation, and specifically the key representatives in your UK organisation in relation to the FCA requirements, process, policies and on-going adherence & compliance to the regulatory framework.

With the increased scrutiny of the conduct of your business and the emphasis now for employees and ex-employees to report organisations infringing the compliance, it is essential for all your employees to reduce your exposure consequently.

We have a structured programme helping you to understand all the key elements, and will provide you with a certificate of successful training completion that helps not only with the initial registration but also allows your organisation to maintain an up to date understanding of the on-going compliance requirements

Bespoke training programmes can be developed upon request for a fixed fee

FCA ASSIST Compliance consultancy

To help assist with new website, product launches, marketing campaigns we offer succinct hourly or daily consultancy to ensure such changes remain compliant with the FCA. Given our focus in this area, we are able to deliver this consultancy at a very competitive rate and depending on the profile required