Our ready-to-use Compliance Monitoring Plan is designed for Limited Permission Credit Brokers who need to meet their obligations under the Financial Services and Markets Act 2000 (FSMA) and the FCA Handbook.
This practical framework helps you ensure your firm stays compliant with FCA regulations effortlessly by:
- Monitor compliance activities effectively
- Provide evidence for FCA audits
- Maintain regulatory standards with confidence
Perfect for businesses seeking FCA compliance, credit broker regulatory guidance, and risk management solutions. Save time, reduce compliance risk, and stay audit-ready with a plan that works.
Who is this Compliance Monitoring Plan for?
Firms seeking authorisation (or variation of permission) to undertake Limited Permission – Secondary Credit-Broking activities.
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