If you are facing the Financial Conduct Authority (FCA) for the first time, regardless of whether you have an interim or full permission, you know that this is a much tougher regulator compared with OFT.  They also have a lot more enforcement powers

This guide will prove invaluable in helping you understand how to stay on the right side of the FCA
  • Could you be Carrying on Unauthorised Business?

    Show you ways to protect yourself against inadvertently carrying on authorised business

  • Directors not on Board?

    We show you practical strategies to get senior management commitment

  • Not Complying with Rules

    Practical strategies to ensure successful ongoing compliance

  • Not Sure how to Deal with FCA

    Proven strategies to successfully engage with FCA