Financial Services Compliance UK - Automated FCA & Regulatory Audits
Analyse your UK financial services company's compliance with FCA regulations, prudential requirements, and reporting obligations using Companies House data. Identify regulatory gaps, capital adequacy issues, and reporting failures with AI-powered regulatory analysis.
Instant audit — no account needed
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Financial Services Compliance Requirements
UK financial services companies are subject to extensive regulation by the Financial Conduct Authority (FCA), Prudential Regulation Authority (PRA), and other regulatory bodies. Compliance requirements include authorisation, capital adequacy, reporting obligations, conduct rules, and anti-money laundering (AML) controls.
ComplianceEngine analyses your Companies House filings to identify financial services compliance risks including regulatory scope, reporting obligations, and potential regulatory breaches.
Key Financial Services Compliance Requirements
Essential regulatory obligations for UK financial services companies
FCA Authorisation
Maintain appropriate FCA authorisation for regulated activities, comply with SYSC requirements, and meet fitness and propriety standards.
Prudential Requirements
Meet capital adequacy requirements, maintain financial resources, and comply with liquidity and reporting obligations.
Regulatory Reporting
Submit accurate and timely regulatory returns to the FCA, PRA, and other regulators including financial and conduct reports.
Conduct Rules
Comply with FCA Principles for Businesses, treat customers fairly, and maintain appropriate systems and controls.
How ComplianceEngine Helps Financial Services Companies
- Analyses SIC codes and business activities to identify potential FCA regulatory scope
- Flags companies that may require FCA authorisation based on regulated activities
- Identifies regulatory reporting obligations from Companies House filing patterns
- Provides actionable remediation plans for financial services compliance gaps
Check Your Financial Services Compliance Today
Enter your company name or registration number to get a free financial services compliance score and identify potential regulatory risks.