UK Financial Services Remedial Compliance, Risk & Conduct Risk Specialist Home of the Compliance Doctor. FCA Authorisation or Registration a speciality.
UK
Joined February 2010
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Compliance Doctor retweeted
Only 4 in 10 vulnerable customers disclose to their provider. Proactive identification is essential. Our Playbook covers six identification methods with staff conversation prompts. dlvr.it/TQrXXB #VulnerableCustomers #FCA
Compliance Doctor retweeted
Outsourcing your MLRO function? The FCA permits it, but the external appointee MUST still hold SMF17 approval and have unfettered access to your business data. You cannot outsource the liability! Details here: dlvr.it/TRPnjB #ComplianceConsultant #SME
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Compliance Doctor retweeted
Is your MLRO operating in name only? The FCA consistently penalises firms where the MLRO lacks the true authority to challenge commercial decisions. Ensure your governance is watertight. Read more: dlvr.it/TRPSJf #SMCR #FCACompliance #RegTech
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Compliance Doctor retweeted
How to structure complaint root cause MI for Consumer Duty board reports dlvr.it/TW7X5M
Compliance Doctor retweeted
What does an MLRO actually do? From conducting the firm-wide AML risk assessment to navigating the NCA's "consent" regime, it's one of the most complex roles in UK finance. Get the complete breakdown here: dlvr.it/TRPL9r #FinancialCrime #AML #UKFinance
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Compliance Doctor retweeted
Building a Consumer Duty complaints MI pack that tracks vulnerable customer outcomes dlvr.it/TW7MfV
Compliance Doctor retweeted
Failing to file a Suspicious Activity Report (SAR) when required can lead to 5 years in prison and an unlimited fine. The MLRO is never just a title. Is your firm's MLRO truly prepared? Read our Plain English Guide: dlvr.it/TRhJTS #MLRO #Compliance #FCA
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Compliance Doctor retweeted
Operating without FCA authorisation in the UK is a criminal offence. Make sure you understand the regulatory perimeter and the 5 non-negotiable Threshold Conditions before you launch. 🛡️ Read our breakdown: dlvr.it/TRNfrp #FinancialRegulation #ComplianceConsultant
ALT https://bit.ly/FCAAuth2026
Compliance Doctor retweeted
You cannot get FCA authorised in 2026 without a robust Consumer Duty plan. The FCA demands proof that you will actively avoid causing foreseeable harm and deliver good outcomes for retail customers from day one. Learn more: dlvr.it/TRNKt8 #ConsumerDuty #FCACompliance
Compliance Doctor retweeted
Getting FCA Authorised in 2026? The new processing target is just 4 months—IF your application is flawless. Don't let incomplete paperwork add 6 months of delays to your launch! 🚀 Get the definitive 10-step guide here: dlvr.it/TRgXlr #FCAAuthorisation #FintechUK
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Compliance Doctor retweeted
Selecting an external AML auditor for a London investment firm dlvr.it/TW6l5F
Avoid costly delays and resubmissions. Our expert audit of your cryptoasset application helps ensure it's robust and ready for the FCA, saving you time and resources. complianceconsultant.org/cry…
Compliance Doctor retweeted
New: Vulnerable Customer Policy & Procedures Playbook. 30+ pages. Nine templates. SMCR mapping. FCA March 2025 review aligned. £149 instant download. dlvr.it/TR5xbv #FCA #ConsumerDuty
Compliance Doctor retweeted
"All firms, regardless of size, must have adequate sanctions processes." — OFSI
Our Playbook: screening methodology, 4-tier escalation, templates, red flags & ownership/control assessments.
£199 inc. VAT.
dlvr.it/TQr11S
#Compliance #FinancialCrime
Compliance Doctor retweeted
Strict liability means OFSI can penalise your firm for sanctions breaches regardless of intent.
Your defence? Documented procedures.
Sanctions Screening Procedures & Escalation Playbook — out now.
dlvr.it/TQqprV
#Sanctions #OFSI #FCA
