Compliance Academy

The H3 Compliance Academy provides free FCA compliance guidance and practical resources for mortgage and insurance brokers, advisers and firms. Explore expert articles, checklists and best practice covering training & competency, competent adviser status, Consumer Duty, file reviews and regulatory compliance.

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.

Read More »

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

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

Read More »

Top Tips for Mortgage Brokers to Maximise Sales Without Compromising Compliance

How small changes to your advice process can improve conversion rates

Read More »

How To Complete A Consumer Duty Board Report

All firms are expected to complete an annual consumer duty board report.  The report serves as a comprehensive overview

Read More »