Compliance Documentation

Compliance documentation will identify and address the compliance risks that a firm faces, and contain management information which a firm can use to measure its compliance.


Writing of a Regulatory Business Plan

For any FCA Application you are required to have a Regulatory Business Plan, which advises the FCA of your business and how it operates in line with meeting threshold conditions. This will explain to the FCA who you are, how your firm operates and how you will meet your ongoing regulatory requirements post-authorisation.

Provision of a Regulatory Business Plan Template

Rather than have a Compliance Expert write this Regulatory Business Plan for you, should you prefer to do so yourself, we can provide you with a template allowing you to complete all the information that needs containing in your plan.

Provision of a standard set of Compliance Policies and Procedures

The FCA requires you to have these documented and available for inspection at their request. We can provide a standard set of these documents. This includes a Compliance Monitoring Programme Document.

Compliance Monitoring Programme Document

As part of your compliance policies and procedures you will need to have a monitoring document demonstrating the areas that require reviewing, how often and by whom, illustrating how you and your staff will comply with your firm’s compliance procedures.

Here is what some of our customers had to say

  • We chose Consumer Credit Compliance after cold calling several of their previous customers to see what experience they had received. Each company gave an honest appraisal and I was satisfied that we should proceed.

    As our application unfolded, it became apparent that we were slightly unique. The team took the time to make a solid plan that lead to a very smooth application process. I was most impressed with the large suite of manuals that are provided, it really gave our company a new more professional structure.

    Jeremy Dawson
    ATPL Finance
  • Hireco is one of the UK’s leading commercial vehicle rental companies and we recently engaged Consumer Credit Compliance Ltd to assist with our FCA application. Consumer Credit Compliance provided exceptional levels of support and guidance throughout the application process, in particular their expertise in drafting the regulatory business plan and updating our procedures was invaluable

    Canice Mallaghan
  • When I first started looking into our FCA approval, I found some information on line and it looked so confusing I kept putting it off. Then, out of the blue, came an email from Consumer Credit Compliance saying that they could help with this. I contacted them immediately and they put my mind at rest straight away. After a few conversations, emails exchanged and documents provided our FCA Approval was ready to be submitted. The charge for the service totally outweighed the man hours it would have taken for my company to understand what needed to be done, complete the paperwork and submit for approval. We would have no problems in recommending Consumer Credit Compliance.

    Collette Woodcock


Windsor House, Cornwall Road, Harrogate, HG1 2PW

01423 522 599