Category Archives: Authorisation

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Where Does Your Budget Go? When Engaging Consultants, Two Of The Major Expenses Are Idle Staff and Premises Most Consultancies have staff that are “Off-Project”, often for 25-30% of the year; but their salaries still need to be paid. Additionally, those prestigious, air conditioned offices with their staff and free coffee and biscuits all need […]

FCA Authorisation – What Is The Basic Process?

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What is the basic process? You need to meet the Threshold Conditions, which are the FCA’s minimum standards for becoming, and remaining, authorised; See Our Free Guide. The process of applying for authorisation requires the proper completion and submission of certain prescribed forms. An applicant for Part 4A Permission, except in so far as the FCA may […]

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Just Quote The Coupon Code Below Whenever You Contact Us For FCA Authorisation, AML Audit, Regulatory Rules Mapping, Governance Review or Any FCA/PRA Regulatory Governance, Risk or Compliance (GRC) Project For Financial Services In The UK. Only until 30th April 2018 Or For Maximum 15 Applications Act Now, Our Allocations Are Filling Up Fast! (subject […]

Achieving Authorisation with the FCA

Ben Mason explains how FCA authorisation application works, what firms should expect from the process, the pros and cons of being an Appointed Representative, and how Compliancy Services can help. Alternatively, you can contact us on 0203 815 7939 or email info@complianceconsultancy.org and we will make the process simpler, clearer and more straightforward for you. […]

The Wolfsberg Correspondent Banking Due Diligence Questionnaire 2017

The Wolfsberg Correspondent Banking Due Diligence Questionnaire 2017 http://www.wolfsberg-principles.com/diligence.html http://www.wolfsberg-principles.com/diligence.html  Keywords: Money Laundering, Money Laundering Act 2007, Money Laundering Examples Uk, Money Laundering News, Money Laundering Online, Money Laundering Regulations Uk, Money Laundering Reporting, Money Laundering Updates

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Small Payment Institutions & FCA Authorisation Applications

What are Payment Services Activities? Payment services activities include the following: Money remittance businesses, commonly referred as money transfer. Mobile network operators, offering payment services. Credit card issuers, such as prepaid cards. Merchant acquiring businesses Can I passport (operate) across the EU with my Small Payment Institution (SPI) licence? You can not passport into other […]

From FCA Authorisations to SMCR And Beyond – We Do It All

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3 Facts You Need to Know About Successful FCA Authorisation

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Many compliance consultancies will quote you a base price, but then add in extras like the policies and procedures you will need and if you ask any questions throughout the process, the clock starts ticking and you are charged as much as £300 per hour (or more).

Compliance Consultant is different. We provide a full preparation service with you and as part of that will provide you with most templated policies you may need (manuals and procedures are extra). We provide a full Q&A service with no extra charge and, for small firms, will only bill you for the final payment when you receive the go ahead from the regulator.

Corporate Financial Services Regulatory Compliance Enquiry Form

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Many people often tell us that they are not sure what we do. If you have a UK Financial Services Regulatory Compliance Risk Support enquiry then contact us. If you have a quite already – we will guarantee to beat it by at least 5%.