Our Services

We work seamlessly as an extension of our clients’ businesses. We collaborate closely and openly with our clients and with their teams as well as with their stakeholders to obtain efficiently the best outcome for them.

We advise our clients on, and assist them to develop structures intended to operate in the UK lawfully on FCA’s Perimeter. Where the UK regulation is likely to be engaged, we:

1.      advise on the full range of FCA and PRA Rules and Guidance, associated regulations, and on related Bank of England Statements of Policy. We advise on all aspects of regulated and perimeter activities in the UK* including, in particular (but not limited to), advice on the activities, investments and associated rules etc., listed in the links below;

2.      advise on, and prepare comprehensive drafts of FCA/PRA/BoE Applications, Registrations, Notifications and Returns (including drafts of all associated documentation) including:

a.     FSMA, Part IV Permission;

b.     extensions, variations, and cancellations to existing Permission(s);

c.     registrations (small EMIs, small PIs, & VASPs);

d.     SMF Application Packs;

e. annual compliance reports, RAG 1 reports, ICAAP; and

f.     FSMA 2000, s.178 Change in Control and Close Links Applications/Notices.

3.      provide a full suite of draft operational documents for firms, that either are for the first time seeking to undertake regulated activities, or who are already undertaking the activities listed below but require their documentation updating, including:

a.     Compliance Manuals;

b.     Regulatory Business Plans;

c.     Wind-up Plans; and

d.     Operational documents - Policies, Procedures, Manuals, SMF Maps, and Plans;

4.      advise on and assist our clients to integrate group-wide top-down compliance systems and processes, that both continue to satisfy home state regulator(s) as well as the FCA and PRA,

5.   introduce clients to contacts within the FCA and PRA – e.g., the New Bank Unit, and the Regulatory Sandbox – with whom we have worked, and

6. provide in-house training, ensuring that new systems and controls are fully and properly integrated within the client’s ecosystem and taxonomy following authorisation or registration.

* Except COLL, CRED and FUND