What we do
We offer a range of services to help businesses improve performance and achieve goals.
From strategic planning to training implementation, our team provides tailored solutions across industries. Whether it's optimising operations or navigating regulations, we're trusted advisors committed to enhancing competitiveness and efficiency.
FCA Applications
Our staff have completed hundreds of applications successfully – both as consultants and while working at the FCA. Whether you want to be authorised or registered, or would like support dealing with event-driven applications, we can help.
The scrutiny applied at the regulatory gateway is more thorough than ever and FCA are increasingly using tools such as interviews to assess firms and their staff. We can run mock interviews with your staff to ensure they are fully prepared and give the best chance of success with the FCA.
Training
We can provide training for Senior Managers, SMF 16/17 role holders specifically, or the rest of the firm’s staff.
We can cover regular annual compliance refresher training, or particular areas such as SMCR and pertinent regulatory developments.
Our staff have provided training for the FCA, for in-house compliance staff, within consultancies and have provided diversity and inclusion training for the civil service.
Prudential services
Compliance with prudential regulation is complex and an area in which many firms trip up. Our team can help you assess what your specific prudential obligations are, assist you with calculating your capital and liquidity requirements, and advise you on how you can meet these (including what instruments you can use).
We also help firms with prudential risk management. We can work with you to create an effective Wind-Down Plan which the FCA expects all regulatory firms to have in place, and we can work with MiFID firms to prepare the required Internal Capital Adequacy Risk Assessment (ICARA).
Our team can also assist you in staying on top of your regulatory returns. This may include providing advice on the preparation of your filings, reviewing and submitting them on RegData, or by preparing and then submitting the returns on your behalf.
Compliance health checks
We can review your compliance framework and give our view on whether your arrangements meet regulatory requirements and expectations, and how you compare to your peers.
We can review your systems and controls, sample documentation and speak to your staff, and then advise you on whether we see any compliance risks or issues and how these can be addressed.
This service is particular useful for new SMF 16 and 17 holders looking for reassurance on the compliance framework they are responsible for and guidance on what areas the firm’s compliance programme should prioritise.
Compliance Monitoring
As well as being a regulatory requirement, compliance monitoring is vital to enable firms to identify and remediate issues early. Effective compliance monitoring requires time, expertise and independence, and as a result firms are often ill-equipped to do this themselves.
We can provide a flexible compliance monitoring service to highlight any potential weaknesses and provide comfort where you are getting it right.
We can carry out your routine compliance monitoring on an outsourced basis or identify areas of key regulatory risk for your firm that we thematically review to supplement your internal monitoring. Either way, we will work with you to develop a risk-based monitoring plan that suits your needs and provide you with a regular report with our findings.
Regulatory interventions
Our team is made up of compliance professionals and former regulators, with significant combined experience of managing supervisory investigations and actions from both perspectives. We understand how the regulator works and can provide guidance on the best way to approach regulatory interactions.
This can range from assistance with the completion of surveys, thematic reviews or more serious supervisory activity.
We help our ongoing clients avoid intrusive supervisory intervention. Where this unavoidable, we can coach your staff and help you manage your communications with FCA throughout, and help you develop a strategy for alleviating any FCA concerns.
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We are one of just 12 companies selected for the Additional Skilled Person Suppliers (ASPS) list by the Association of Professional Compliance Consultants, demonstrating our experience and competence in each of the Lots (Client Assets, Governance, Controls and Risk Management Frameworks, Conduct of Business, Financial Crime and Prudential).
Where another firm is appointed as the Skilled Person in a review, we can provide firm-side support through what is often a challenging and resource intensive experience.
Regulatory projects
If you are a small firm needing some locum support, or if you require technical assistance in answering questions or supporting your staff in specific areas, our team can support yours.
Ongoing compliance
We are here to provide advice when you need it. We understand the importance of getting the right answer quickly and pride ourselves on our plain language explanations and practical answers.
Dealing with regulatory change
We help our clients keep on top of new regulatory developments and changes. We can provide technical support, clear explanations of what is needed and the right tools to help.
We understand your concerns and have worked directly on implementation projects within regulated firms and at the regulator, getting buy-in from stakeholders, embedding change and assessing implementation.
We provide a second opinion on if and how you are likely to be impacted by changing rules or a more hands-on approach to assist implementation.
In providing a people led service, we will work with you to ensure any implementation efforts are appropriate to the reality of your firm and set you up for regulatory compliance in a proportionate and meaningful way.