Advisory or deeply hands-on as your fractional Compliance Officer. We help regulated firms navigate the FCA Handbook, mitigate risk and stay ahead of the regulators.
Take a full retained relationship or a single project. We specialise in AIFMs but support advisory firms, lenders and Annex 1 businesses too.
We act as your part-time Compliance Officer, supporting SMF16/17s: monitoring, policies and procedures, Fit and Proper assessments, SMF applications, attestations, best execution testing and regulatory returns.
Retained support to your existing Compliance Officer or team: ad-hoc queries, compliance monitoring, reviewing financial promotions, Variations of Permission and annual audits.
We prepare or check MIFIDPRU calculations for RegData returns from your balance sheet, P&L and AUM figures, quarterly, for you to review and submit.
A healthcheck of your whole business or part of it. We specialise in AIFMs and the SYSC, FUND, COLL, COBS and MIFIDPRU sections of the FCA Handbook.
Business-wide and customer risk assessments, and comprehensive Three Lines of Defence audits to safeguard investors and enhance accountability.
Annex IV and MDP extracts to the FCA under AIFMD, plus RegData and Connect submissions handled with precision.
Reliable governance frameworks aligned to the FCA Handbook, including attending and advising board meetings and drafting minutes.
Specialist MLR support for FCA Annex 1 financial institutions such as lenders: annual compliance report, MLRO support, risk assessments, policy reviews, training and independent AML audits.
Every client gets access to the Fundsure Portal, our online GRC solution for tracking, monitoring and approving compliance activity with full audit and export.
Centralise your Compliance Monitoring Plan and replace paper and spreadsheets.
A central home for compliance documentation, attestable by staff.
Ad-hoc reminders and tracking of personal, company and team tasks.
Centralise company registers with custom approval workflows.
Task calendar across personal, company and team.
Report on any data in the system and export to Excel, Word or PDF.
Configurable workflows for gifts, PA dealing and breach handling.
Automated periodic staff affirmations with reminders at key dates.
Every client receives a quarterly review of UK and EU regulatory updates and enforcement news, helping you prepare for new legislation before it goes live.
Book a free 30-minute consultation to discuss your authorisation, fund launch or ongoing compliance. No obligation, just expert guidance.
