Regulatory Business Plan – Secondary Credit Broking

With the FCA’s emphasis on governance and the Consumer Duty, our Secondary Credit Broking Regulatory

Business Plan delivers a concise, ready-to-use framework for a variety of businesses who carry out credit

broking referrals to supplement their primary business.

Your digital download includes:

• Executive Summary & Metrics: Tables for patient volumes, finance applications and broking turnover examples
• Corporate Overview: SIC code, VAT, related-party disclosures and SMF29 org chart
• Business Model & Workflow: Lender panel matrix, referral diagrams and customer journey steps
• Services Classification: Clear tick-box separation of regulated broking vs treatments
• Governance & Controls: Committee TORs, control calendars and IT system summaries
• TCF & Vulnerable Customers: CONC/Consumer Duty cross-references, scripts and escalation protocols
• Promotions, Training & Risk: Approval matrices, LMS training schedule, DISP complaint flows and risk-register extract
• Financial Resources & Appendices: Own-funds tables, stress-test scenarios, SMF29 CV template and CONC/DISP checklist

Streamline your application and ensure full FCA compliance.