FCA - Ad-hoc/Project work

Our senior consultants have extensive experience working in-house with a variety of different financial services clients, as well as fluent cross-border expertise in Europe and the United States.

About our service

Our core strength lies in delivering bespoke advice to our clients based on regulatory best practice applied to their specific type of firm, as opposed to a tick-box, one size fits all approach.

Our consultants’ combined experience of working alongside similar type firms, means we are able to look at the regulatory landscape as a whole and then take each topic and interpret how the regulator addresses it based on the type of firm.

Click here if you would like more information on our ad-hoc/project work FCA support services.

Service Checklist

Examples of recent project work includes:

MiFID II Gap Analysis

AIFMD vs MIFID II Gap Analysis

FCA vs SEC Gap Analysis

Research policies and procedures

Corporate Governance & SYSC

AIFM Reporting to Fund Board

Remuneration

Conflicts of Interest

Conduct of Business

Retail Distribution Review

Client Onboarding

Disclosure Documents for UCITS and PRIIPS

Customer Due Diligence for AML

Passporting & Private Placement

SMCR

Brexit scenario analysis

U.S. Regulatory Analysis

Policies and procedures

We also invest in technology to deliver you quality and tailored solutions. We can provide you with a range of comprehensive policies and procedures designed for your firm. Our policies and procedures have been drafted by senior practitioners and general counsel and scrutinised by our entire team.

These include:

Aggregation & Allocation Policy

Conflicts of Interest Policy and Register

Dealing Errors Policy

Order Execution Policy

Valuation Policy

Risk Management Policy

Remuneration Policy

Research Policy

Product Governance Policy

Algorithmic Trading Policy

Data Security, Cybersecurity and GDPR Policies

ICAAP (Internal Capital Adequacy Assessment Process) Document

SMCR Policy

Internal Reports (e.g. MLRO Report)

Financial Crime Policy and Risk Assessments

Public Disclosures