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
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”