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.

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

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

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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.

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