CCA FCA application pack

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Consumer Credit Act advisers and firms are submitting to apply for Part IV permissions with the FCA. The culture and jargon used in the financial services arena is very different to what they are used to and can often be confusing. The Compliance Doctor (www.complianceconsultant.org) had prepared a pack of information and guidance on applying for FCA permissions to assist the newcomers to regulated advice. The pack covers policy documentation, Treating Customers Fairly assessment, a Compliance monitoring plan, explanation of Conduct Risk (20 page PDF), a Compliance Manual and much, much more. Email info@complianceconsultant.org if there are any issues

Business

CCA
FIRMS
HELP
HTTP://CCAFIRMSHELP.COM
Now we have
Your attention
DoYouWork Under
The Consumer Credit
Act?
About Us
What’s In It?
How to Order
ATTENTION: Stop Wasting
Time And Get Your CCA
Application Pack!
“At Last! Discover How To Complete All Of The
Documentation For Governance, Risk &
Compliance For Your CCA Application To The
FCA, Allowing You To Take Your Business To
The Next Level!”

CCA
FIRMS
HELP
HTTP://CCAFIRMSHELP.COM
Now we have
Your attention
DoYouWork Under
The Consumer Credit
Act?
About Us
What’s In It?
How to Order
If you’re finding the FCA
application process a little
confusing, or don’t understand
what the regulators mean
when they discuss
DISP, TCF & Conduct Risk, Financial
Promotions, SYSC, Compliance Monitoring
Plan, Data Protection Act requirements etc
and find your concentration levels wavering,
you need to listen up!

CCA
FIRMS
HELP
HTTP://CCAFIRMSHELP.COM
About Us
What’s In It?
How to Order
Understanding the difference in
jargon as well as the culture
change from the OFT regime to
the FCA takes a lot of study and
application.
• Do you really understand
what Compliance means in
regulated financial services?
• Do you really understand
what a regulated complaints
policy and procedure is?
• Do you understand what
Treating Customers Fairly and
Conduct Risk is really about?

CCA
FIRMS
HELP
HTTP://CCAFIRMSHELP.COM
About Us
What’s In It?
How to Order
• Are you fully up-to-speed on
consumer credit lending &
credit broking disclosure?
• How you would show the right
Management Information for
TCF, quantitative &
qualitative?
• Do you understand what
Financial Promotions are and
what you are expected to do
with them?
• Do you know how you enact
the Data Protection Act in
your business?

CCA
FIRMS
HELP.COM
HTTP://CCAFIRMSHELP.COM
Sorry These
ladies are
nothing to do
with me!
About Us
What’s In It?
How to Order
I am the Compliance Doctor and
I run a Compliance Consultancy
in the UK. I am a Chartered
Fellow of the CISI. I have been in
Financial Services since 1988
This means that you get a lot of experience
and regulatory understanding as well as
interpretation to help you understand the
application process, provide the right
documents and give you great guidance

CCA
FIRMS
HELP.COM
HTTP://CCAFIRMSHELP.COM
Now we have
Your attention
DoYouWork Under
The Consumer Credit
Act?
About Us
What’s In It?
How to Order
I have prepared a pack of
information that guides you
through the application,
provides a “Compliance
Manual” and other documents
See the next page for full contents

CCA
FIRMS
HELP.COM
HTTP://CCAFIRMSHELP.COM
About Us
What’s In It?
How to Order
In the pack you will find;
• A Compliance Manual with 15
Chapters and an Amendment
Guide for your changes
• A Compliance Consultant TCF
Analysis Template document
• A Compliance Consultant TCF
FAQs Document
• An Annual Compliance
Monitoring Plan Template

CCA
FIRMS
HELP.COM
HTTP://CCAFIRMSHELP.COM
About Us
What’s In It?
How to Order
In the pack you will also find;
• A Full Permissions Check-list
• A Limited Permissions Check-list
• PDF Application Form for Full
Permissions
• PDF Application Form for Limited
Permissions
• Our Compliance Consultant 20
Page PDF on “Conduct Risk in
Financial Services”

CCA
FIRMS
HELP.COM
HTTP://CCAFIRMSHELP.COM
About Us
What’s In It?
How to Order
To find out more and to make your
purchase, go to
Http://ccafirmshelp.com

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Conduct Risk is sweeping the financial services world and catching many risk manager out as there is still a lack of understanding. Our Compliance Manual is available at http://bit.ly/ComplianceManualTemplate Risk management need to determine the corporate risk philosophy and appetite. To assess or understand the risk philosophy, try to comprehend the organisation's culture, values and environment. The way business operations are conducted on a daily basis and the organisation’s strategy are typically good indicators where you can find the company risk philosophy. Assess whether business has an aggressive, innovative, typical or conservative attitude towards risks for achieving business goals. Risk appetite is simply the amount of risk which the organisation is willing to take to undertake business activities and achieve the business objectives, where Conduct Risk is concerned this has to include good customer outcomes. A simple question to ask the board of members could be “What amount of reported mismanagement or public uproar would make you uncomfortable if it appeared in the business newspapers?” Consolidate the various risk exposures from the risk department's identified risks and present them to the board. Finally, assess whether the company’s internal perception and rhetoric on risk philosophy and appetite are consistent with the board and other stakeholder's viewpoints. Realign the two where required to prepare the annual strategy. Build Your Framework.

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CCA FCA application pack

1. CCA FIRMS HELP HTTP://CCAFIRMSHELP.COM Now we have Your attention DoYouWork Under The Consumer Credit Act? About Us What’s In It? How to Order ATTENTION: Stop Wasting Time And Get Your CCA Application Pack! “At Last! Discover How To Complete All Of The Documentation For Governance, Risk & Compliance For Your CCA Application To The FCA, Allowing You To Take Your Business To The Next Level!”

2. CCA FIRMS HELP HTTP://CCAFIRMSHELP.COM Now we have Your attention DoYouWork Under The Consumer Credit Act? About Us What’s In It? How to Order If you’re finding the FCA application process a little confusing, or don’t understand what the regulators mean when they discuss DISP, TCF & Conduct Risk, Financial Promotions, SYSC, Compliance Monitoring Plan, Data Protection Act requirements etc and find your concentration levels wavering, you need to listen up!

3. CCA FIRMS HELP HTTP://CCAFIRMSHELP.COM About Us What’s In It? How to Order Understanding the difference in jargon as well as the culture change from the OFT regime to the FCA takes a lot of study and application. • Do you really understand what Compliance means in regulated financial services? • Do you really understand what a regulated complaints policy and procedure is? • Do you understand what Treating Customers Fairly and Conduct Risk is really about?

4. CCA FIRMS HELP HTTP://CCAFIRMSHELP.COM About Us What’s In It? How to Order • Are you fully up-to-speed on consumer credit lending & credit broking disclosure? • How you would show the right Management Information for TCF, quantitative & qualitative? • Do you understand what Financial Promotions are and what you are expected to do with them? • Do you know how you enact the Data Protection Act in your business?

5. CCA FIRMS HELP.COM HTTP://CCAFIRMSHELP.COM Sorry These ladies are nothing to do with me! About Us What’s In It? How to Order I am the Compliance Doctor and I run a Compliance Consultancy in the UK. I am a Chartered Fellow of the CISI. I have been in Financial Services since 1988 This means that you get a lot of experience and regulatory understanding as well as interpretation to help you understand the application process, provide the right documents and give you great guidance

6. CCA FIRMS HELP.COM HTTP://CCAFIRMSHELP.COM Now we have Your attention DoYouWork Under The Consumer Credit Act? About Us What’s In It? How to Order I have prepared a pack of information that guides you through the application, provides a “Compliance Manual” and other documents See the next page for full contents

7. CCA FIRMS HELP.COM HTTP://CCAFIRMSHELP.COM About Us What’s In It? How to Order In the pack you will find; • A Compliance Manual with 15 Chapters and an Amendment Guide for your changes • A Compliance Consultant TCF Analysis Template document • A Compliance Consultant TCF FAQs Document • An Annual Compliance Monitoring Plan Template

8. CCA FIRMS HELP.COM HTTP://CCAFIRMSHELP.COM About Us What’s In It? How to Order In the pack you will also find; • A Full Permissions Check-list • A Limited Permissions Check-list • PDF Application Form for Full Permissions • PDF Application Form for Limited Permissions • Our Compliance Consultant 20 Page PDF on “Conduct Risk in Financial Services”

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