Download board report template below The FCA expects firms’ boards or governing bodies to review and approve an annual board report, assessing whether the firm is delivering good outcomes for its customers...
Download tool below The FCA was clear in its recent Dear CEO letter that Annex I firms are expected to complete a gap analysis by September 2024 to investigate the areas of common weakness identified...
Download guide below Compliant and effective safeguarding measures are a pre-requisite for being granted and retaining an authorisation for the provision of payment and e-money services. A portfolio letter issued by the FCA in...
Download guide below There has been so much written and said about Consumer Duty in over the past year, you would be forgiven for wanting to draw a (temporary) line under it...
Choosing the right route for your business In the UK, nearly all financial service activities must be authorised by the Financial Conduct Authority (FCA). There are two main routes that firms can...
Getting registered under 5MLD Cryptoasset businesses have needed to comply with Money Laundering Regulations (MLRs) since the 10th January 2020, irrespective of whether they are currently registered with the FCA or not....
Understanding the routes to authorisation for e-money firms Compliancy Services are a leading provider of regulatory compliance services to e-money firms. This factsheet, written by James Borley guides you through e-money definitions, licence...
Understanding the routes to authorisation for payment services firms Cosegic are a leading provider of regulatory compliance services to Payment Services Providers. This factsheet, written by James Borley, guides you through Payment Services...
Understanding regulation as a payment services provider Payment services firms need to be aware of the compliance obligations of the Payment Services Regulations 2017. To help them understand their obligations, Cosegic has produced...
Information for CFAs This factsheet has been produced to help Corporate Finance Advisors (CFAs) understand what is required when it comes to dealing with and providing investment services to retail clients. In...
Understanding the authorisation process as an MTF The Financial Conduct Authority (FCA) has classed authorisation applications for Multilateral Trading Facilities (MTFs) as complex. This factsheet has been produced to help firms looking...
‘Mind and management’ – the key things to consider The FCA have confirmed that they consider these areas as part of their decision on whether or not to authorise a firm. This factsheet...
Understanding the routes to authorisation for investment firms This information sheet has been prepared to assist investment firms planning on applying for FCA authorisation to establish key information relating to their proposed...
A checklist for firms looking to create an AR network The strategy of creating a network of ARs presents an attractive opportunity for firms to expand their salesforce and grow their business....