REGULATORY SERVICES
Our Services
Specialist regulatory services covering the full lifecycle of regulated financial services - from initial licensing through to ongoing compliance and strategic advisory.
Authorisation & Licensing
Securing and changing regulatory permissions across the UK and international markets.
Licensing & Authorisation
End-to-end regulatory licence applications across all major financial services sectors and jurisdictions.
Variation of Permission
Adding, varying or removing regulatory permissions for authorised financial services firms.
Change of Control
Section 178 notifications and change of control applications for regulated firms.
Become an Agent
Agent registration and appointed representative support for firms distributing regulated payment services.
Ongoing Compliance
Continuing compliance capacity, assurance and reporting for authorised firms.
Compliance Support
Ongoing compliance frameworks, monitoring programmes and regulatory change management.
Compliance Audit
Independent compliance audits and assurance reviews for regulated financial services firms.
Regulatory Reporting
Accurate, timely regulatory reporting submissions to the FCA and other global regulators.
Financial Crime Compliance
AML and CFT frameworks, transaction monitoring, reporting and financial crime risk management.
PS25 Safeguarding
CASS 15 and FCA safeguarding compliance for payment institutions and electronic money institutions.
Conduct & Governance
Consumer Duty, accountability, product governance and supervisory response.
Consumer Duty
Outcome testing, fair value assessment, monitoring and the annual board assessment.
SM&CR
Responsibilities mapping, certification, fitness and propriety and Conduct Rules.
Product Governance & Distribution
PROD compliance, target market definition, fair value and distribution controls.
Principal & AR Oversight
Due diligence, monitoring, annual reviews and remediation for principal firms.
Delegated Authority & Distribution Oversight
Coverholder, broker and distribution chain governance and oversight.
FCA Supervision & Remediation
Information requests, skilled person reviews and credible remediation programmes.