We provide a wide range of services to clients and we endeavour to tailor solutions to meet our clients’ needs. Our aim is to create effective and proportionate compliance function arrangements around your firm’s own business rather than fit your business into a ‘pre-packaged’ compliance regime.
Our focus is on the compliance cycle as a whole, often providing initial regulatory ‘perimeter’ advice for firms uncertain whether they are in scope of regulation, to then assisting firms with FCA authorisation applications and ongoing support once directly authorised.
Navigating FCA authorisation can be a complex process with a number of different forms to complete. We assist firms to project manage this to make the process as smooth, time-efficient and painless as possible. It is important to ensure that any FCA application is clear and complete before submission and our experience of successful applications assists us in guiding firms on FCA expectations for applicants to have appropriate compliance arrangements and to meet Threshold Conditions of Authorisation.
Ongoing monitoring and helpdesk support
Post authorisation, we can provide a range of services including ongoing ‘helpdesk’ support, answering technical queries as they arise. Monitoring services include annual compliance healthchecks or more frequent quarterly reviews. Other applications may include Variations of Permissions and Change in Control.
We also advise on future regulatory developments and our experience has included areas such as AIFMD and MiFID implementation, and the Senior Managers and Certification Regime.
Compliance support and guidance
Ongoing support can also include policy reviews and procedures documentation. We can provide compliance training, both online and bespoke courses, further information on which can be found here
We provide a monthly newsletter for both clients and non-clients which helps highlight to firms key regulatory communications and messages from the FCA. We also issue occasional briefing notes on specific technical areas of compliance including in advance of major regulatory developments.
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