Credit brokers
Rockstone Compliance can work with you to shape a unique and bespoke solution, ensuring that your regulatory obligations are met to a high professional standard.
How we can help you
For Directly Authorised credit brokers, staying compliant with FCA regulations isn’t just a one-time task—it’s an ongoing responsibility. With the regulatory landscape constantly evolving, maintaining compliance can be complex and time-consuming. That’s where retained compliance support becomes invaluable.
By having expert guidance on hand, you can confidently navigate regulatory changes, meet your obligations, and avoid costly compliance risks.
Our retained support services provide proactive monitoring, tailored advice, and ongoing assistance, ensuring your business remains compliant while allowing you to focus on growth and customer service.
Compliance and support retainer
Rockstone Compliance can provide you with a retained support function, supporting your firm as appropriate.
- Compliance advisory ‘Helpdesk’
- Overseeing the Compliance Monitoring Programme (CMP)
- Policy manual set up and regular reviews
- Implementation of firm specific compliance forms (Terms of Business / Sales Processes)
- Sales Quality Reviews (file checks)
- Technical Support – marketing guidance / website compliance
- Completion of FCA RegData returns or Connect Applications
- GDPR / Data Protection Compliance Support / Training;Overseeing supervisory model for CPD completion
- Delivering personalised and firm specific annual training programme
- Complaints handling support – from investigation through to final resolution.
The above is only an indication of the service offering and as such we are happy to provide a provision that suits your firm.
Packages start from £393 + VAT per month.
Ad hoc support
This includes compliance visits, documentation, complaint and advertising support etc. You may require an ad-hoc visit for any number of reasons including:
- One off ‘Healthcheck’ reviews to establish how compliant any aspect of your business is.
- General compliance visit for file checking, T&C and TCF
- Completion of RegData returns
- Delivering bespoke training (either in person or via video link)
Onsite Visits – Cost quoted per hour or day, dependant on activity required or location.
Contact us
To learn more about how we can support your compliance needs, please call or send us an email.