August 2026
[email protected]
+44 7563 115980 (phone and WhatsApp)
An independent review of where your firm stands against the FCA’s rules, before anyone else looks.
A compliance health check is an independent review of a regulated firm’s compliance arrangements against the FCA’s rules and expectations. It shows what works, what is missing and what to fix first, in a short written report the board can act on.
The review covers the areas the FCA looks at most closely in firms like yours.
See also: Independent AML audit · Safeguarding audit readiness
| Moment | Why a health check helps |
|---|---|
| First year after authorisation | Confirms the firm runs as its application said it would |
| Before an FCA visit or review | Finds and fixes gaps before the FCA does |
| Before a funding round or sale | Gives investors and buyers an independent view |
| After a new product or market | Checks the framework kept up with the business |
| When a new compliance officer joins | Gives them a clear starting position |
Tell us where you are and where you want to be.
[email protected]
+44 7563 115980 (phone and WhatsApp)
A short report the board can read in one sitting: an overall view, each finding with its risk level and evidence, and a recommended action with an owner. Detailed working papers sit behind it for your compliance team.
Where the review is ahead of an FCA visit, we can run practice interviews with your senior managers on the questions the FCA is likely to ask, and give feedback on the answers.
Payment institutions, e-money institutions, cryptoasset firms, consumer credit firms and investment firms, including UK branches and subsidiaries of overseas groups.
No. It is a voluntary review. Firms use it to find gaps before the FCA, a bank, an auditor or an investor does.
Compliance monitoring is the regular testing a firm does under its own plan. A health check is a one-off, independent review of the whole framework, usually at a key moment for the firm.
Yes, for firms within its scope, including the annual board assessment of customer outcomes.
The report is for your firm. If a finding is serious enough that the firm must tell the FCA, we will say so and help you prepare the notification.
Yes. We can put the actions in place with your team and check that they work.