regulatory reporting & fca notifications
How, What, and When to Report and Notify
If your firm has suffered a regulatory breach and needs to notify the FCA via its SUP 15 process, we offer urgent support and advice on the best approach to notify the FCA effectively.
Report Preparation and Submissions
Ensure timely preparation and submission of reports to avoid late return penalties.
Guidance on FCA Applications
Provide advice on submitting applications like SMC&R Approved Person Forms, Variation of Permission (VoP), Waivers and Modifications, Cancellations, and other ad hoc FCA applications.
fca authorisation
How, What, and When to Report and Notify
FCA authorised firms must submit regulatory returns and other notifications based on their business type and regulated activities. Our Services include:
FCA Systems Registration
We assist with registering for required FCA systems such as Connect and RegData.
Report Preparation and Submissions
Ensure timely preparation and submission of reports to avoid late return penalties.
Guidance on FCA Applications
Provide advice on submitting applications like SMC&R Approved Person Forms, Variation of Permission (VoP), Waivers and Modifications, Cancellations, and other ad hoc FCA applications.
If your firm has suffered a regulatory breach and needs to notify the FCA via its SUP 15 process, we offer urgent support and advice on the best approach to notify the FCA effectively.
policy development
Review, Analyse, and Develop Policies
We can help review, analyse and assess your existing business policies if you are already an existing authorised and regulated business, ensuring that your key policies are up to date with and aligned with current UK regulatory standards Alternatively, we can also help your business develop new policies from scratch to ensure that your business is able to demonstrate to the FCA that you have adequate systems and controls in place to carry out regulated activities.
For non-authorised firms seeking FCA approval, we can help you draft key regulatory policies such as Financial Communications and Promotions, Consumer Duty, Vulnerable Customers, Financial Crime and Anti-Money Laundering, and more. These are just some of the policies the FCA expect firms to have in place prior to being authorised.
Learn more about the Policy solutions we offer.
Lorem ipsum Simply Dummy Text
Sample Title
consectetur adipiscing elit, sed doeiusmod Lorem ipsum dolor sit amet, consectetur.
Sample Title
consectetur adipiscing elit, sed doeiusmod Lorem ipsum dolor sit amet, consectetur.
Sample Title
consectetur adipiscing elit, sed doeiusmod Lorem ipsum dolor sit amet, consectetur.
risk & compliance consulting
Tailored Risk and Compliance Consulting
We have experience and interaction with all types of regulated businesses across the financial services spectrum, with a particular focus on consumer credit, payment services, and investment management.
Looking through an FCA lens, our astute experts will help you identify key risk and compliance gaps across your entire business or within particular lines of business. We provide effective solutions on how to mitigate and remedy these gaps, ensuring that your business can demonstrate to the FCA that you are not only aware of your key risks and issues but also ready, willing, and organised to handle and mitigate them.
Our former FCA staff come from a range of backgrounds, including FCA Supervision, Asset Management, Consumer Credit, Payment Services, and Prudential, CASS, and Financial Resilience Specialists.
risk & compliance consulting
Tailored Risk and Compliance Consulting
We have experience and interaction with all types of regulated businesses across the financial services spectrum, with a particular focus on consumer credit, payment services, and investment management.
Looking through an FCA lens, our astute experts will help you identify key risk and compliance gaps across your entire business or within particular lines of business. We provide effective solutions on how to mitigate and remedy these gaps, ensuring that your business can demonstrate to the FCA that you are not only aware of your key risks and issues but also ready, willing, and organised to handle and mitigate them.
Our former FCA staff come from a range of backgrounds, including FCA Supervision, Asset Management, Consumer Credit, Payment Services, and Prudential, CASS, and Financial Resilience Specialists.
training & seminars
Enhance Compliance and Regulatory Awareness
Post-authorisation firms benefit significantly from our comprehensive training seminars, designed to help businesses and personnel enhance their understanding of regulation, risk, and compliance issues. Whether these issues are specific to your firm or relevant to the wider regulatory landscape, our seminars provide valuable insights and practical knowledge.
Identify and Bridge Knowledge Gaps
We collaborate with you to identify training and knowledge gaps among staff members, formulating the best approach to deliver effective training sessions. Additionally, we test and validate how well your frontline employees have absorbed the material.
Customised and Flexible Training Delivery
Our training and seminars are tailored to meet your firm’s specific requirements and can be delivered in various formats:
- Remote Online Training
- Onsite at Your Premises
- At a Venue of Your Choice
We cover a wide range of subjects, from Regulatory Reporting to Client Assets (CASS), ensuring comprehensive coverage of essential compliance topics.
bespoke insights
Alumni Compliance consists exclusively of former FCA personnel with decades of collective knowledge and experience. Our team possesses deep technical and regulatory knowledge and an intimate understanding of how the FCA thinks, behaves, and operates internally.
Contact Us Today
Ensure your firm stays compliant and well-informed. Contact us today to schedule a training session and discover how our tailored seminars can support your regulatory and compliance needs.