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A non-compliant financial institution runs the risk of being fined, censured or even being ordered to halt regulated activities. Fines and censures can be brought against individuals as well as businesses, causing brand damage and consumer turn-off.
What we do
Our compliance services ensure FS institutions are correctly authorised and have the required procedures and processes in place to retain high levels of compliance. With increased innovation in the FS space by digitally-native neo-banks and others, being compliant today requires an innovative approach, with the fair treatment of customers at the heart of it all.
Compliance Regulation
The cornerstone of the FCA’s regulatory approach is the Principles for Businesses and notably the principle regarding Treating Customers Fairly. All regulated businesses must adhere to these principles and be able to demonstrate evidence that they have complied with them.