Service Overview

FCA Applications for Authorisation


If you are considering applying for FCA Authorisation, or a Variation of Permission, then let us help you.  At a time when you will be planning for change within your business, you want to be able to focus on what needs to be done, not on the project management and paperwork.


Leave that to us.


We’ll project manage your application and we will:




Senior Management Responsibility


As a Senior Manager of your business, how do you know what is expected of you? How do you identify your regulatory responsibilities?


Our Training and Coaching Programmes in Senior Management Responsibility will equip you with the necessary:



These skills and knowledge will give you the confidence to carry out your role effectively and in line with FCA expectations



Compliance Supervision and Monitoring


By working with you on a collaborative basis, we will design a service that is aligned to your firm’s needs.  


Training and Competence

A move towards a people focused business is vital for all IFA firms.  Your T&C Scheme needs to consist of succinct policy and processes specific to the development and competence of everyone within your firm.

We will review and develop your current T&C Scheme and ensure that it is fit for purpose, enabling your business to grow and develop effectively.


Adviser Induction, Assessment & Monitoring

When you are looking to recruit new team members for your business, it's vital that they are inducted suitably into the firm so that they become an asset to your business from day one.

We will:


Training and Development

A full range of Compliance, Management, and Personal Skills development options, all tailored to the needs of your firm.


Compliance Health Check

This will reassure you (and us) that we have reviewed all areas of Compliance within your business. We will:


The report will include any recommended actions and will serve as evidence that you understand the impact of this process on your business, from a Regulatory perspective.



Projects


From small, to more substantial projects, we will meet with you to understand your needs, at our expense, then we will design and create a solution that focuses on and achieves your goals.



Regulatory Business Plans


We will work with you to understand and produce Regulatory Business and Marketing Plans.  These will provide you with a vital framework to underpin your business strategy and operational progression.



Compliance Documentation and Firm Processes


We will review and / or supply you with relevant Compliance documentation to ensure that what you have in place is fit for purpose as a Directly Regulated firm.


This includes but is not exclusive to:




Regulatory Updates


Let us know if you’d like to receive our regulatory news updates.


These will be sent to you via email on a regular basis.  Subject matter will be relevant to your firm and is likely to include:



As members of the Association of Professional Compliance Consultants, we attend regular forums with the FCA during which we are provided with information that is relevant to our clients.  We are able to communicate key information to you in a timely manner.


Compliance Helpdesk

As part of our comprehensive service to you, we will also ensure that you will have access to us via telephone and email, when you have questions that involve:




Financial Promotions


We will provide our expert opinion on your Financial Promotions, usually within 48 hours.


This will include, but is not exclusive to:




Complaint Handling


In the event of a compliant, or potential complaint, we will advise and support you on how to progress and liaise with the Regulator and your client, working towards a fair and compliant outcome.



Business Risk Awareness


This is an important area of the FCA’s focus.  Have you an up to date Business Risk Plan?  How is this monitored?  How is this reviewed?  Who is responsible?


If you don’t quite know where to start, or you’d like an external, objective perspective on your Business Risk Analysis and or Business Risk Plan, then we can help.



Associate opportunities


We’re always on the look out for Compliance Consultants who have a good foundation of experience in Compliance Consultancy and who share a mindset that matches our own.




Service Quick Links

Call us to discuss your requirements in more detail.

01780 483 806

or to complete our
enquiry form click here


Chameleon Compliance Ltd.
Dickens House
9 Guithavon Street
Witham CM8 1BJ

Members of the Association of Professional Compliance Consultants

01780 483 806
enquiries@chameleoncompliance.co.uk

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