FCA Ongoing Compliance

Our in-depth understanding of regulatory requirements and industry best-practice allows us to act as an additional compliance resource to clients, working alongside them to provide solutions that are specific to their needs.

FCA Ongoing Compliance

Our in-depth understanding of regulatory requirements and industry best-practice allows us to act as an additional compliance resource to clients, working alongside them to provide solutions that are specific to their needs.

About our service

We provide a wide range of FCA compliance monitoring services where our senior consultants visit you on a weekly, monthly or quarterly basis. We typically like to work with clients on an ongoing, retained basis as it allows us to work proactively and better understand your business and risk appetite. Our approach to compliance consulting ensures that our recommendations are always pragmatic, as well as commercial. Our consultants take great efforts to work collaboratively in the office. This approach allows you to leverage our experience and knowledge of the common regulatory issues we see across our client-base and the industry, which greatly benefits our clients.

Our ongoing monitoring services start with a comprehensive initial assessment by two consultants to learn about your business and identify any priorities. We follow up our visits with a written report that documents what we have reviewed and any recommendations intended to strengthen your compliance programme. Our reports are well received when provided to the board, regulators, clients, investors and other external stakeholders.

Click here if you would like more information on our on-going FCA compliance support services.

Service Checklist

Policies and Procedures tailored to your business and designed to meet the expectations of the FCA, including:

Senior Management Arrangements, Systems and Controls

Senior Managers and Certification Regime

Conduct of Business

Conflicts of Interest

Financial Crime (Market Abuse, Money Laundering, Bribery and Tax Evasion)

ICAAP/Risk Assessment

Financial Promotions

Compliance Monitoring Programme

Independent Monitoring

Strategic Planning

Marketing and Financial Promotions Review

General Regulatory and Compliance Advice

Implementation and Review of Written Compliance Procedures as Appropriate

FCA GABRIEL Reporting

FCA CONNECT Filings

Threshold Disclosure Reporting

Assistance with correspondence and interaction with the FCA

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