Our experienced team of dedicated regulatory professionals provide FCA Prudential Requirements Compliance services to a wide range of firms. We guide clients through the spectrum of regulatory prudential requirements.
Our client base includes asset managers, AIFMS, corporate finance, broker/dealers and a range of other financial firms requiring compliance support.
Whether you’re an established firm looking for guidance, or a start-up who needs advice on the numerous aspects of FCA financial compliance, we’re here to help you both comply and succeed.
- We take the lead in putting policies and procedures in place to satisfy these requirements, ensuring compliance with FCA rules.
- Our experienced team of regulatory consultants – including qualified accountants, lawyers and former members of staff at the FCA – will advise on all aspects of capital planning and the associated systems and controls that should be in place, making sure that you meet both the strict capital adequacy requirements while also having sufficient capital to continue to grow and expand your business.
- We take the stress out of your regular FCA filings, drafting the required documentation and assisting you with submitting your GABRIEL returns. We can also guide you on the preparation of complex documents such as your ICAAP and liquidity assessments.
- If you’re a new firm seeking FCA authorisation, we will assist you in putting together a comprehensive set of financial projections to help get your FCA licence as quickly as possible, giving advice and guidance whenever you need it whilst working closely with the FCA.
- We will keep you informed of regulatory changes arising from Europe or FCA which may impact on your regulatory obligations
With decades of combined experience, a commercial focus in everything we do and a specialised understanding of the FCA rules, we’d be pleased to discuss your requirements and how we can help.