Financial Conduct Authority (FCA)
Compliance & Risk Management for FCA Regulated Firms
The Financial Conduct Authority regulates financial services firms in the UK and sets expectations around governance, financial crime controls, complaints handling and consumer protection.
RACO provides structured compliance and risk management support to FCA regulated firms, delivering frameworks that are practical, proportionate and aligned to regulatory expectations.
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Supporting FCA Regulated Businesses
We work with authorised firms across financial and credit sectors to strengthen internal controls and regulatory oversight.
Our services are designed to ensure:
- Clear governance structures
- Effective AML and financial crime controls
- Documented complaints handling procedures
- Treating Customers Fairly compliance
- Demonstrable regulatory alignment
Typical Organisations We Support
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Financial advisory firms
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Credit businesses
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Consumer finance providers
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Firms strengthening financial crime controls
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Talk to our FCA regulatory specialists today
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Our FCA Compliance Services
Compliance Framework Development
Policies, controls and procedures aligned to FCA regulatory expectations.
AML & Financial Crime Controls
Risk-based AML systems and monitoring structures.
Complaints Handling & TCF
Structured complaints processes and Treating Customers Fairly compliance frameworks.
Regulatory Investigations & Reporting
Support responding to supervisory queries and regulatory engagement.
GDPR & Data Protection
Implementation of compliant data protection structures.
Bribery Act & Employment Regulation Compliance
Practical guidance to strengthen internal controls and governance.
Structured, Ongoing Support
Compliance within FCA-regulated firms requires continuous oversight and documented evidence of control.
We work alongside internal teams or provide outsourced support to ensure systems remain operational and defensible.
Explore our FCA Compliance Services
Who we work with
We support:
Whether compliance is a dedicated internal function or part of a wider leadership role, we provide the structure and support required.
Contact Our Team
To ask any questions about the Regulation and Compliance Office and how we can support your business, please call us on 0203 985 8550, complete the online enquiry form below, or email us info@regulationandcomplianceoffice.co.uk