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We perform thorough compliance audits to proactively assess and enhance regulatory adherence. Our dedicated team conducts a comprehensive examination of compliance processes, providing valuable insights to strengthen adherence to regulatory standards.


We offer thorough audit services to enhance regulatory compliance. Drawing on our industry expertise, our team provides personalised solutions to guide businesses through compliance audits. The focus is to bring clarity and confidence to teams as they navigate regulatory requirements.

Our audit services are designed for businesses looking to strengthen their capabilities in regulated financial services. With a dedicated team, we lead through a customised audit approach, ensuring regulatory adherence and offering ongoing support for continuous improvement.

What we can help with.

We deliver comprehensive audit services to meet regulatory standards. Our team addresses various aspects, offering tailored solutions for audit and implementation. We ensure a thorough and personalised approach, providing peace of mind as businesses navigate the dynamic and evolving regulatory landscape.

We provide thorough and personalised audit services to meet the changing needs of businesses. Our dedicated team stays informed about regulatory changes, ensuring that audit processes align with the latest requirements. Whether you need regular assessments, help with specific audit challenges, or proactive adjustments to new regulations, our ongoing support is designed to keep businesses compliant and resilient in the face of regulatory changes.


We offer practical insights and guidance to help businesses navigate the complexities of compliance audits. Our team, grounded in industry knowledge, provides tailored solutions that resonate with the unique needs of your business. We aim to demystify the audit process, providing genuine support that fosters clarity and confidence for your team.

Consumer duty audit

With a focus on the specifics of your business, our consumer duty audit service goes beyond the surface. We work alongside your team to identify areas that demand attention and improvement. This collaboration allows us to offer tailored advice and practical solutions, ensuring that your business not only meets but exceeds consumer duty expectations.

About our firm.

Since 2013, Regulatory Counsel has guided firms through ever-evolving compliance landscapes. Our seasoned team, spanning various sectors, actively integrates compliance into day-to-day operations. With a keen eye on senior management responsibilities and consumer needs, we aim for commercial success while effectively managing compliance risks.

In an era of increasing regulatory complexity, our multi-sector specialists collaborate to gain nuanced insights into FCA interactions and industry trends. This collective expertise enables us to align business objectives with compliance requirements, offering tailored solutions that empower our clients to navigate regulations confidently. At Regulatory Counsel, we're dedicated to preserving your vision and objectives in the ever-changing regulatory landscape.

Our People.

Our team of regulatory and compliance experts combine their backgrounds across multiple sectors. Together, they understand the issues faced by our clients and provide a bespoke service. Our service is expert-led. This means that when you engage with us, you will have direct access to a senior expert, usually at the director level. Our team combine strong regulatory expertise with commercial acumen. This means that they are able to understand your business in-depth and provide solutions built around it, unique to yourself. 

Why Regulatory Counsel.

With a track record of assisting hundreds of firms, Regulatory Counsel is well-equipped to guide you through the FCA authorisation process. 

Our seasoned professionals are equipped with extensive knowledge in financial services regulation and dedicated to providing unmatched insights and guidance.

Exceptional client

Whether you're navigating the authorisation process, fine-tuning compliance strategies, or enhancing staff capabilities, count on us for unwavering support throughout your journey.



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Next Steps.

Whether its licencing, compliance or something else, our experts are ready to understand your needs and offer a tailored solution. 

We can usually arrange a free same-day consultation to discuss your project. 

What our clients say.

"We're grateful for the hands-on support from Regulatory Counsel. Their team delved into our compliance procedures, offering practical insights and constructive recommendations. Their down-to-earth approach made the audit process straightforward and beneficial. Looking forward to further collaboration for our ongoing compliance journey."

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