Compliance Academy

Explore practical FCA compliance guidance designed for mortgage brokers and directly authorised firms. Browse expert articles, checklists and best practice covering training & competency, competent adviser status, consumer duty, mortgage file reviews and regulatory compliance.

What Does a Good Mortgage File Look Like? A Compliance Reviewer’s Checklist

Every mortgage broker has asked themselves the same question at some point...

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How to Build a Competent Adviser Status (CAS) Programme That Stands Up to FCA Scrutiny

Awarding Competent Adviser Status (CAS) is one of the most important decisions a mortgage firm will make.

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How Many Files Do You Need to Achieve Competent Adviser Status (CAS)?

It's probably the most common question new mortgage advisers ask...

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Competent Adviser Status (CAS): What Does It Mean and How Do You Achieve It?

Passing CeMAP is a huge milestone, but it's only part of the journey to becoming a fully independent mortgage adviser.

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Training & Competency for Sole Trader Mortgage Brokers: What the FCA Really Expects

Do Sole Trader Mortgage Brokers Need a Training & Competency Scheme? (Yes – Here's Why)

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Top 5 Time-Saving Hacks Every FCA-Regulated Mortgage Broker Should Be Using

Time is the one thing mortgage brokers can never get back.

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