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Capital Adequacy

Regulated firms have to satisfy and comply with complex Capital Adequacy requirements specific to the markets in which they operate.

Navigating your way through the myriad rules can be a confusing and time-consuming exercise. Thistle Initiatives has a team of experts who specialise in advising and assisting all manner of firms in meeting their regulatory and reporting obligations, including (but not limited to):

  • • Consumer credit
    • Insurance
    • Corporate finance
    • Crowdfunders
    • P2P lenders
    • AiFMD
    • Investment firms

We can work with your existing auditors and tax advisors in ensuring that your firm meets its ongoing Capital Adequacy obligations in a compliant and tax efficient manner.

  • GABRIEL

    Under rule 16 of the FCA’s Supervision handbook, all firms have to submit regular reports to the FCA through its online portal GABRIEL.

    Again, Thistle Initiatives has vast experience of assisting firms in this regard including reporting on:

    • • Financial returns
      • Capital adequacy
      • Complaints reporting
      • Close links and controllers
      • Financial crime
  • Prudential Requirements

    Firms subject to BIPRU & IFPRU have to comply with the most complex of the Capital Adequacy regimes and are also subject to additional requirements in the form of Pillars 2 & 3. In order to ensure continued compliance, Thistle Initiatives can assist firms with the following:

    • The Internal Capital Adequacy Assessment Process (ICAAP)
    • Pillar 3 disclosures
    • Remuneration Code compliance
    • Wind down and resolution planning
    • Internal Liquidity Adequacy Assessment (ILAA)


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