UK Financial Services Remedial Compliance, Risk & Conduct Risk Specialist Home of the Compliance Doctor. FCA Authorisation or Registration a speciality.
Joined February 2010
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- Following 4,308
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6,406 Photos and videos
Compliance Doctor retweeted
The FCA assesses SMF candidates on 6 competencies. Our Competency Assessment template covers all of them with prompts. dlvr.it/TQgSJP #FCA
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Compliance Doctor retweeted
Why do some SMF applications take 12 weeks? Usually incomplete documentation. Our packs fix that. From £299. dlvr.it/TQgND2 #FCA #SMCR #Compliance
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Compliance Doctor retweeted
12 working days. Zero FCA questions. That's what proper SMF application preparation achieves. Get the methodology: dlvr.it/TR9smB #SMF #Compliance
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Compliance Doctor retweeted
NEW: #SMF Submission Packs for FCA applications. Proven methodology: 12-day approval, zero questions. Templates from £299. dlvr.it/TR9ZZX #SMCR #FCA #Compliance
ALT https://bit.ly/SMFSubTkt
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Compliance Doctor retweeted
Source of Wealth ≠ Source of Funds
SoW: How did they accumulate their total wealth?
SoF: Where does THIS transaction's money come from?
PEPs and high-risk customers need BOTH verified.
The common failure in FCA EDD finding.
dlvr.it/TR8XBt
#AML #Compliance #FCA
ALT https://bit.ly/PEPHREDD
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Compliance Doctor retweeted
For Payment Services firms (PIs, EMIs, RAISPs), you also need: • Safeguarding monitoring • SCA compliance • Agent oversight • PSR conduct requirements Different regime = different requirements. dlvr.it/TQCTBJ
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Compliance Doctor retweeted
£199 inc. VAT | Instant download
👉 dlvr.it/TQt5ly
#SMCR #FCA #Compliance #SeniorManagers #SYSC25 #MakingComplianceWork
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Compliance Doctor retweeted
Updated for 2026 — reflecting CP25/21 reform proposals including extended SoR timeframes, revised enhanced firm thresholds, and streamlined processes.
SYSC 25.9 compliant. 30 pages. Fully editable Word doc. dlvr.it/TQsn90
#SMCR #FCA #Compliance #SYSC25
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Compliance Doctor retweeted
The previous 5 elements Plus:
🔐 Systems & Documentation Inventory
✍️ Formal Sign-Off Declarations
📊 90-Day Post-Handover Review
🚨 Emergency Handover Protocol
📁 Live Documentation Maintenance Framework
dlvr.it/TQsfr8
#SMCR #FCA #Compliance #SeniorManagers #SYSC25
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Compliance Doctor retweeted
What's inside:
📋 Handover Policy Statement
✅ Pre-Handover Checklist
📜 Handover Certificate (FCA-recommended)
🗓️ Meeting Log Templates
📑 SMF-Specific Supplements for SMF1, SMF3, SMF4, SMF9, SMF16, SMF17
dlvr.it/TQsC91
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Compliance Doctor retweeted
🔶 NEW: SMCR Handover Documentation Template
The FCA says "a handover has taken place" is NOT enough. They want evidence — structured, documented, and signed off.
Our new template gives you the complete framework. 🧵👇 dlvr.it/TR6hKK
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Compliance Doctor retweeted
"Can you define what a good outcome looks like for a vulnerable customer?" If your firm hesitates, our Vulnerable Customer Playbook gives you the framework, templates, and MI structure to answer confidently. #VulnerableCustomers #FCA #FinancialServices dlvr.it/TQrfr4
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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
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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
ALT https://bit.ly/CDMLRORole
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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
ALT https://bit.ly/CDMLRORole
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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
ALT https://bit.ly/CDMLRORole
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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
ALT https://bit.ly/CDMLRORole
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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
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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
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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
ALT https://bit.ly/FCAAuth2026
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