Drafting and Advising on the necessary Policies and Procedures

Is your business seeking direct authorisation with the Financial Conduct Authority (FCA) for the first time? Or perhaps you’re looking for guidance and support to maintain compliance? Richdale’s experienced and personable consultants can work with you to prepare and maintain acceptable corporate procedures and documentation in line with the FCA rules.

All FCA-authorised firms must have documented compliance procedures, as well as a compliance manual. The compliance manual is a vital corporate document to get right – and we’ll work with you to make sure that happens.

A compliance manual should outline how your business complies with its regulatory obligations with the FCA. Equally, the manual must be easy for staff to read and digest, with all employees given easy access to the latest version – which should be updated annually at the very least.

Bespoke corporate structures

Our team will equip your business with all requisite Companies House and Company setup documentation before drafting appropriate structure charts, bespoke to your firm.

Compliance Business Plans

The FCA requires a full Compliance Business Plan that outlines all primary areas of your operations. Our team can design a bespoke plan, in consultation with you, to provide the basis for your own financial forecasting.

As part of our comprehensive FCA Compliance Support Package, we’ve helped many financial service providers like you overhaul existing compliance procedures and design new procedures that accurately reflect your business’ activities and regulatory obligations; whilst being accessible and easy for your staff to understand.

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