FCA Compliance

At ALPH Legal, we understand that all businesses, whether they’re large or small, need to maintain a high level of compliance that protects your business and the people who work for you. Regardless of your turnover and resources, our team specialises in helping you navigate the complexity around regulations and internal policies. 

When do you need compliance? 

Compliance isn’t only for large businesses or those in heavily regulated industries; compliance is important for any business. You may need to ensure your business is compliant when avoiding or mitigating any risks and protecting your overall operations. Below, we highlight key areas where you may need to consider compliance.

• Starting a new business or expanding
• Navigating industry regulations
• Updating internal policies 
• Changing legal or regulatory requirements
• If you provide a regulated service such as financial services
• After a significant business event, such as a merger or acquisition 
• Ensuring business continuity through compliance monitoring and audits.

Our services

Whether you’re looking to identify gaps in your compliance policies or need expert guidance in creating essential legal documentation, our team is on hand to ensure that your business is well-equipped to meet all regulatory criteria and relevant standards. 

GAP analysis reports

GAP analysis reporting helps you understand and identify areas within your business that need improvement. Our team will conduct a comprehensive GAP analysis report that helps your business be fully prepared to meet regulatory requirements.

Policies and contract development

Every business needs to have policies and contracts in place, regardless of its industry or size. Our team will assist in the creation of bespoke policies that will help your business align with regulatory frameworks, which will also safeguard your business and mitigate risks.

Identification of key roles

A core aspect of meeting certain regulations, such as FCA regulations, is identifying what essential roles are needed for your business to be compliant. These include highlighting senior managers, certificated roles and authorised representatives, ensuring your business has the correct leadership in place to meet compliance requirements. 

Training in compliance awareness

Our specialist team will conduct training with your team to help their understanding of compliance, ensuring they adhere to internal policies and external regulations with confidence. 

Ongoing Monitoring and Auditing

Becoming compliant is not a one-time task; it needs to evolve and change following regulation changes and reviews. This is why we help establish ongoing monitoring and auditing systems to ensure your business continues to remain compliant with relevant laws and regulations. 

Compliance advice

We offer expert guidance on complying with key business principles and threshold conditions. Working with you, we develop strategies that ensure your operations align with current legal and regulatory standards. 

How much should my business be spending on Regulatory Compliance?

Recent research has put the cost of Regulatory Compliance as high as 35% of your budget.  ALPH Legal & Compliance adds value as you can use us as much or as little as you require, save resources and employment costs.

Why Choose ALPH Legal? 

We’ve been helping businesses remain compliant for many years, whether you’re looking for GAP analysis to identify areas where improvements can be made or need ongoing support after you become compliant, our team are on hand to help you navigate the complexities surrounding compliance. Speak to our team to see how we can help you and your business.