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Financial Conduct Authority (FCA) Advice

Regulation under the FCA is very complex. ‘The Handbook’ is vast and often difficult to understand. There are a number of sourcebooks for specific sectors, followed by all the general rules.

If you are authorised by the FCA, you must understand the rules.

I advise a lot of businesses on the FCA rules, often supporting their own compliance teams as a ‘3rd line of defence’.

I also assist with the authorisation process, preparing the detailed FCA application forms and providing necessary policies in support. Sometimes, I become involved after an application has been submitted and the FCA have said they are ‘minded to’ refuse it.

If you are struggling with the FCA rules or just need some one-off advice, you should get in touch.

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