
Audits & Advisory
Advice
Our compliance specialists can support you with transparent advice and problem-solving you can trust. We are knowledgeable and always at the forefront of regulation
We can provide guidance on regulatory permissions, launching a new product or service, responding to the regulator, dealing with an information request, providing feedback on documentation and so much more
Audit
Compliance audits come in various shapes and sizes. Whether you are in the Investments, Payment Services, Credit, Mortgages, Digital assets or General Insurance sector, we conduct robust audits across your business, to ensure you stay on the right side of the regulators. Some key audit focus areas include AML, safeguarding, CASS, systems & controls and MiFID II
Prudential Advice
From capital adequacy and FCA financial advice, to the Investment Firms Prudential Regime (IFPR), our prudential advice will support your financial services business to meet the regulatory requirements around capital and liquidity, for investment firms and consolidated investment firm groups
Supervision & Enforcement
Our enforcement team can be there to navigate the risk, threat or reality of FCA supervision and enforcement action with you. We have extensive experience across the board including expert witness, VREQ, OIREQ, S165 and S166 and can support you to get your documents in order
Governance & Culture
The FCA’s Principles for Businesses - SYSC and the SM&CR all require firms to implement and evidence appropriate controls around governance and culture. We will help you better understand the flow of information within your business and develop a manageable governance framework
Consumer Duty
The FCA’s Consumer Duty, which will be implemented from July 2023, will set higher and clearer standards of consumer protection across financial services and will require firms to put their customers’ needs first. We will help you better understand the FCA’s Consumer Duty requirements and have a range of tools available to help you do this
ICARA
We provide guidance to SNI and Non-SNI MIFIDPRU firms on completing their MIF007 ICARA. Our prudential consultant will assist firms to prepare their ICARA process including capital and liquidity planning, stress testing, wind-down planning and recovery planning in order to meet the Overall Financial Adequacy Rule (OFAR). We also provide assistance with reviewing firms’ ICARA documentation to ensure compliance with FCA expectations
CASS Audits
Client assets (CASS) audits come in various shapes and sizes. Whether you are in the Investments, Credit, Digital Assets or General Insurance sector, we can conduct robust CASS audits across your business, to ensure you stay on the right side of the FCA’s CASS sourcebook
Onsite Projects
Sometimes we need to be on the ground with you, to really understand your business and how we can unravel your regulatory responsibilities. Get in touch to discuss project work onsite in your office, or on location for a period of time or fixed term secondment.
How we work
Step 1
A free consultation to discuss your business model and where you are right now
Step 2
Plan a tailor-made proposal, timeline and budget for your audit or advisory project
Step 3
We take a collaborative approach with clear action, and a commercial focus