At ALPH Legal & Compliance, our goal is to provide a professional service to help you remain compliant. With a dedicated team of lawyers and compliance experts, we help FCA-regulated companies navigate the complexities of FCA Authorisation, Supervision, and Compliance through export legal support and guidance.
If you need help applying for FCA Authorisation or managing ongoing compliance, our team at ALPH Legal & Compliance will guide your business through every stage of the regulatory process, whilst offering expert support to keep your business compliant.
If your company is already under FCA supervision, at ALPH Legal & Compliance, we can help guide and support you through the scrutiny, data requests, and regulatory demands that come from FCA Supervision, and will ensure that every aspect of communication between the FCA is effective.
Our team helps businesses of all sizes understand their regulatory obligations and strengthen their internal policies, documentation, and governance. With expert support across everything from gap analysis and policy creation to training, monitoring, and ongoing compliance management.
Our range of off-the-shelf consumer credit documentation helps consumer credit firms meet FCA requirements quickly and consistently. Each of our policies, registers, and core credit documents give you a foundation to tailor your own processes.
We help regulated businesses develop regulatory business plans that clearly set out their business model, governance, risks, and compliance approach in line with FCA expectations, ensuring that your business has structured, practical plans in place that support both authorisation and long-term operational processes.
Having robust IT system controls and meeting UK GDPR is essential for any business, and our team at ALPH Legal and Compliance will help you ensure you have stronger IT controls in place, whilst also keeping your business fully compliant with UK GDPR laws.
Complaints are an unfortunate part of business, and with the FCA expecting firms to have clear processes in place to ensure an excellent customer experience and to reduce further complaints, our team will help you improve your complaint reporting and conduct root cause analysis.
Our team supports firms with underwriting guidance and ongoing external compliance monitoring to keep their operations aligned with regulatory expectations. This includes oversight of risk registers, business continuity measures, and complaint-handling processes