Regulatory & Compliance
FCA authorisation, and the frameworks that come with it
Authorisation applications and variations of permission, perimeter guidance under FSMA and PERG, governance and policy frameworks, sustainable finance rules, Consumer Duty and other overarching rules.
Areas we cover
Regulatory
- Regulatory memos
- Breach reports
- Permission variations
- Capital adequacy advice
Regulatory developments read against your own permissions: the FCA Handbook, the PRA Rulebook, CBI and CSSF requirements, UCITS, AIFMD, MiFID II and PRIIPs, and capital adequacy under IFPR.
FCA Authorisation & Permissions
- Application forms
- Business plans
- Financial projections
- SMCR mapping
- Variations of permissions
Applications run end to end, from scoping the permission set against the business model to answering the regulator’s questions after submission, with the supporting documentation drafted rather than reviewed.
FCA Authorisation & Retail Permissions
- Variation of permission applications
- Change in control applications
- Suitability policies
- Financial promotions policies
The same process where the permissions are retail: advisers, wealth managers, platform providers and robo-advisers, where the permission set chosen at authorisation decides which policies you then have to operate.
Governance, Risk & Compliance
- Compliance manuals
- Conflicts policies
- Board packs
- Terms of reference
Directors’ duties under s.172, board and committee structures, company secretarial work, and the policy suite a regulated firm keeps current under SMCR and the Consumer Duty.
ESG
- Fund disclosures
- ESG policies
- Stewardship frameworks
- CSRD reporting
Fund disclosure under SDR and SFDR, the data governance behind ESG claims, and the stewardship and reporting frameworks investors and regulators ask to see.
Matters we have run
Obligations tracker for new FCA permissions, business lines and product launches
Global ACD/Trustee Services
An in-house GC freed for strategy and new client initiatives, with holiday and leave cover
Monthly regulatory horizon scanning and annual compliance, governance and HR policy updates
Regulatory change risks flagged proactively
Partnered with
Our other services
Public Funds · Private Funds · Investments & Capital Markets · Commercial & Corporate
Talk with Cordelia, Chief Growth Officer
Cordelia Hughes Chief Growth Officer
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