Regulatory Change

Day-to-day regulatory guidance, compliance troubleshooting, and expert technical support.

We provide practical help for compliance teams, senior leaders, and firms seeking authorisation or ongoing regulatory peace of mind.

Our advice is always practical, proportionate, and rooted in regulatory reality – ensuring that compliance becomes a source of confidence, not complexity.

What’s Included

We deliver every aspect of compliance support across our services. Whether you need FCA authorisation, SMCR structure and governance, policy design, risk assessments, health checks, remediation, training, or ongoing advisory. Each service area covers the practical regulatory requirements you’re searching for, so you can rely on us for tailored help, whatever your firm needs.

Just a few of our client projects:

Avoiding a serious regulatory breach

A compliance officer at a pan-European investment firm needed confidence in ongoing regulatory compliance. The company was three years into its Financial Conduct Authority (FCA) authorisation. The officer was covering several other roles at the same time. We lightened their workload by visiting their offices for a ‘health check’. We updated multiple documents and made Principle 11 notifications. This ensured the FCA was aware of changes and developments since the firm’s authorisation.

Help! We need to review our permissions

The Head of Compliance at a corporate finance firm was worried that regulations may have changed considerably in the seven years since the company was authorised to do business. Did they still hold the right permissions for their business model? We ran a review to ensure we understood which of their activities and types of investment and services were subject to regulation and ensured the business knew what to do to comply with these. We also found opportunities that enabled the firm to change fee block and so considerably reduce their regulatory fees and levies.

Strengthening defences against market abuse

A financial services platform firm wanted to strengthen its email and messaging systems against market abuse. And to do so fast! We built them a database of phrases (lexicon) that could be indicators of market abuse if used on their firm’s recorded systems and which their IT team implemented. We also advised them on how to grow and improve the lexicon themselves.

Individual, expert advice

An individual with more than 30 years of experience had been previously turned down by a regulator when they applied to hold previous Senior Manager Functions (SMF) roles. They turned to us. We discussed an upcoming interview, the regulatory approach, areas to focus on, and how to demonstrate their competency and capabilities. The FCA approved their application within a week of their interview.

Lightening their workload

A compliance officer at a pan-European investment advisory firm needed confidence the company was still complying with all the rules that applied to its business three years into their authorisation from the Financial Conduct Authority (FCA). The trouble was, they were covering several other roles at the same time. We lightened their workload by going into their offices to do a ‘health check’, updating multiple documents and making some Principle 11 notifications to ensure the FCA was fully aware of how the firm had changed and developed since it had first been authorised.

Embedding ‘in-house’ know-how and confidence

A banking firm used a consulting firm to help them implement the Senior Managers and Certification Regime (SMCR), but had been left with limited understanding about what exactly had been implemented. The firm needed help to fully embed the implementation and create far better understanding and buy-in from their senior managers. One major challenge was their approach to taking ‘reasonable steps’. We provided training and templates and drafted internal policies and procedures. Individuals in their SMCR office then had the confidence to operate the regulatory regime day to day.

WHO WE HELP

We advise across all the financial services sectors. Select your sector for tailored insights.

Can’t see your sector? We also work with mortgage and insurance brokers, independent financial advisers, consumer credit and fintech firms, discretionary fund managers, and other growing businesses seeking specialist compliance support. Contact us to discuss your needs.

Ready to Get Started?

Let’s discuss how we can support your business.

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Services

Registered Office

17 West Grove

Hersham

Walton on Thames

Surrey

KT12 5PF