Services

We have extensive experience in FCA authorisation applications and specialise in the following licenses:

1. Advisors/Arrangers
2. Portfolio Managers
3. Small Alternative Investment Fund Managers ("AIFM")
4. Full-Scope AIFM (CPM/CPMI)

Our work on FCA authorisation typically involves:

1. Initial consultation
2. Completion and submission of the application pack
3. Post-submission assistance with any follow up queries from the FCA
4. Preparation of your firm's compliance documentation

We offer tailored secondment solutions that can fit in and support your internal compliance team either on a short or long-term basis. This service typically includes:

1. Managing your Compliance Monitoring Programme ("CMP")
2. Maintaining and updating your compliance documentation and infrastructure
3. Oversee the onboarding of new clients
4. Assistance with the completion of due diligence questionnaires 
5. Preparation of Governance reports 

We provide ongoing support tailored to your needs. We specialise within the wholesale market and in particular we work with Financial Advisors, Portfolio Managers, Private Equity, Corporate Finance and Asset Managers. Our ongoing support suite includes:

1. Compliance monitoring reviews and formal compliance report
2. Maintain and update the compliance infrastructure 
3. Preparation of Governance reports
4. Ad-hoc support
5. Compliance training
6. Regulatory updates

We review and test your existing compliance arrangements including your compliance monitoring programme, infrastructure and related policies and procedures. We benchmark and assess your existing controls against regulatory requirements and industry best practices. Our findings will be documented in a formal compliance report with prioritised recommendations for improvement.

We can help you set-up a new compliance infrastructure or review your existing documentation and suggest amendments, where required, to ensure that these are up-to-date and in line with the FCA’s requirements. 

We can assist with various regulatory projects:

1. Senior Managers and Certification Regime ("SM&CR")
2. Variation of Permission ("VOP") application
3. Change of control and legal status application
4. AML risk reviews
5. FCA Connect applications