Empowering your business
through Compliance.
We offer a comprehensive suite of compliance consulting services uniquely crafted to meet the specific needs of your business.
FCA Authorisation and Registration
Navigating the process of obtaining FCA authorisation can be overwhelming and time-consuming. We guide you through the application process, ensuring you meet all requirements. We help assess your new and existing business requirements and whether your business requires FCA authorisation, and the specific permissions you need. Achieving and maintaining FCA authorisation requires meeting the minimum standard, known as the Threshold Conditions. These conditions relate to your firm’s appropriate resources, business model, effective supervision, location of offices, and suitability. We ensure your FCA application is complete and accurate to facilitate timely approval.
Additionally, we assist Senior Managers and Approved Persons with their applications and prepare them for potential interviews with the FCA.
Compliance Framework Development
Once your firm is authorised and/or registered with the FCA, we assist you in building robust compliance frameworks that are tailored to the size and nature of your business, establishing a strong foundation for long-term compliance success.
This includes creating a Compliance Plan and Compliance Monitoring Plan that allows strong oversight over key compliance themes, which may include but not limited to: Financial Crime; Senior Managers and Certification Regime (SM&CR); Consumer Duty; Market Abuse; and Financial Promotions. Part of implementing strong compliance frameworks, we assist with reviewing and drafting policies and procedures, and ensuring your internal controls are robust.
Compliance and Regulatory Health Checks
We conduct thorough regulatory health checks and compliance audits to assess your current compliance status, identify gaps, and recommend corrective actions to minimise risk. Our goal is to ensure that your business operates in compliance with FCA rules, maintains the integrity of the financial system, and protects the interests of consumers.
Depending on the nature of your firm, the key components of a health check include, but are not limited to:
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Regulatory permissions review.
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Evaluation of all applicable policies and procedures.
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Governance and oversight.
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Risk management framework.
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Training and competence.
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Systems and controls.
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SM&CR.
Regulatory health checks and compliance audits are conducted periodically, depending on the size, nature, and scale of your business and its activities.
Regulatory Guidance, Advice and Reporting
We will keep you informed of upcoming UK financial services regulatory changes that may impact your firm and assist you in interpreting these changes if your firm needs to adjust its systems and controls to comply with them.
If you're creating a new product or changing your business model, we will advise you on the best course of action, especially when these changes might bring new regulatory requirements that weren't previously applicable.
We can also assist with FCA correspondence and queries that may require more extensive input from compliance experts.
Compliance Training
We can help with your compliance training requirements by tailoring and delivering training to meet your firm's needs. With a focus on practical, scenario-based training, we are committed to enhancing your firm's compliance culture and ensuring your colleagues are well-equipped to understand the regulatory and compliance challenges your firm faces. We can discuss the most relevant compliance topics to incorporate into your training program.
Risk ManagemenT and Corporate Governance
Enterprise Risk Management is a firm-wide strategy to help identify, assess, evaluate and mitigate risks within your business to achieve success. We work with you to identify and manage risks effectively, helping you avoid potential legal issues and financial penalties.
This includes reviewing and providing guidance on the following:
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Risk Appetite Statement.
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Risk Management Policy.
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Risk Assessments and Framework.
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Risk Register.​