How to successfully implement the 4 outcomes of the Consumer Duty
How to successfully implement the 4 outcomes of the Consumer Duty.
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What we do
As a leading regulatory consulting firm in the UK, we specialise in guiding businesses to offer regulated financial services with seamless compliance. Our comprehensive services encompass licencing, compliance, training, and project management, providing invaluable support in navigating the intricacies of financial regulations.
Why Regulatory Counsel.
With a track record of assisting hundreds of firms, Regulatory Counsel is well-equipped to guide you through FCA authorisation and provide regulatory support.
Our seasoned professionals are equipped with extensive knowledge in financial services regulation and dedicated to providing unmatched insights and guidance.
Exceptional client
support
Whether you're navigating the authorisation process, fine-tuning compliance strategies, or enhancing staff capabilities, count on us for unwavering support throughout your journey.
Comprehensive
services
Client-centric
approach
Our Insights
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.
Our Services
Regulatory Counsel is a leading UK firm offering comprehensive FCA authorisation, compliance, training, consulting, and advisory services.
We can help advise on the requirements and prepare your application for a successful FCA authorisation and registration application in the quickest time possible. We also help manage communication with the FCA.
FCA Compliance
Our meticulous approach to compliance simplifies the complexities of regulatory requirements. We assess your operations, identify potential risks, and implement effective strategies to streamline compliance.
Financial Crime
We can provide services to ensure regulatory compliance and protect your business from potential risks. Our experienced team offers tailored AML and CTF solutions, helping you strengthen your risk management practices and safeguard your operations effectively.
Regulatory Reporting
We offer expert assistance in regulatory reporting to ensure firms meet their compliance obligations effectively. Our seasoned team can help navigate complex reporting requirements, providing accurate and timely submissions to regulatory authorities.
Specialist Support
We provide expert support in specific and thematic areas, including SM&CR implementation, consumer duty, vulnerable customers, and effective complaint handling.
We offer tailored solutions to address regulatory challenges, ensuring clients achieve excellence with confidence.
Why leading firms choose us as their partner.
"Regulatory Counsel's professionalism, dedication, and commitment to our firm have proven invaluable in navigating our licence application and providing ongoing compliance support. We are thoroughly satisfied and appreciative of their support, anticipating continued collaboration.
Their understanding of financial regulations and specialist services have played a pivotal role in enhancing our compliance operations. Their guidance ensured our adherence to regulatory standards. We wholeheartedly recommend their services to any organisation in need of regulatory support from a seasoned consultancy."
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