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