We provide FCA compliance advice to owners and directors of small and medium-sized companies helping them to achieve FCA compliance.
Auditors can be presumed to know about the FCA rules on which they are required to report, but may not be familiar with the rest of the rule book.
We are FCA compliance advice specialists
Whether or not we are appointed as auditors, our FCA compliance advisors can offer clients:
- assistance with regular financial and other reports to the FCA, using GABRIEL or Connect
- assistance with ad-hoc matters such as passporting or variation of permissions
- preparation of FCA compliance manuals
- updating service for existing compliance manuals, whether or not we prepared them originally
- design and implementation of compliance monitoring procedures
- assistance with preparation of Individual Capital Adequacy Assessment Procedures (ICAAPs)
- advice on the client assets rules (CASS)
- assistance with design and implementation of key policies and procedures (eg. Treating Customers Fairly, Pillar 3, Risk Assessment)
- advice on training, competence and examination requirements
- ad hoc compliance support and helpline facilities
Most of our FCA clients are small or medium-sized firms, with staff numbers between one and a few hundred. However, we have also provided professional advice to some very large institutions on specific issues and projects.