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Financial intermediaries operate across some of the most complex regulatory frameworks in financial services.
Cosegic embeds compliance directly into your everyday workflows, so you can focus on growing your business and serving your clients – within the rules.
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Select a category to see tailored support and relevant services.
FCA authorisation is your foundation in UK financial services. We bring the expertise, rigour and track record to get you there.
MyCosegic replaces fragmented compliance work with a single operating system where actions, evidence, approvals and oversight live together.
The US market demands SEC compliance across multiple jurisdictions. Our specialists manage the entire process so you can focus on the opportunity ahead.
As your business evolves, we help you identify, apply for and secure the FCA permissions that reflect your next phase of growth.
When ownership changes, FCA approval is non-negotiable. We bring the precision and expertise to make sure it never becomes an obstacle.
When regulatory demands shift or specialist knowledge is needed fast, our ongoing support gives you access to senior compliance expertise.
Providing experienced compliance professionals to strengthen your team and support regulatory priorities.
We help you uncover compliance gaps, demonstrate commitment to fair customer outcomes and ensure your policies withstand regulatory scrutiny.
An independent view of your regulatory position, giving senior leadership the insight to act and strengthen compliance foundations.
Supporting accurate, timely regulatory reporting to help you meet your ongoing compliance obligations.
Practical, proportionate ICARA processes embedded into day-to-day risk management and built to meet regulatory expectations.
Compliant, crisis-ready wind-down strategies that are clear, credible and integrated into your prudential risk management framework.
Practical, regulator-ready support that embeds SM&CR confidently across your organisation, tailored to your firm's specific needs.
Select a category to see tailored support and relevant services.
FCA authorisation is your foundation in UK financial services. We bring the expertise, rigour and track record to get you there.
MyCosegic replaces fragmented compliance work with a single operating system where actions, evidence, approvals and oversight live together.
The US market demands SEC compliance across multiple jurisdictions. Our specialists manage the entire process so you can focus on the opportunity ahead.
As your business evolves, we help you identify, apply for and secure the FCA permissions that reflect your next phase of growth.
When ownership changes, FCA approval is non-negotiable. We bring the precision and expertise to make sure it never becomes an obstacle.
When regulatory demands shift or specialist knowledge is needed fast, our ongoing support gives you access to senior compliance expertise.
Providing experienced compliance professionals to strengthen your team and support regulatory priorities.
We help you uncover compliance gaps, demonstrate commitment to fair customer outcomes and ensure your policies withstand regulatory scrutiny.
An independent view of your regulatory position, giving senior leadership the insight to act and strengthen compliance foundations.
Supporting accurate, timely regulatory reporting to help you meet your ongoing compliance obligations.
Practical, proportionate ICARA processes embedded into day-to-day risk management and built to meet regulatory expectations.
Compliant, crisis-ready wind-down strategies that are clear, credible and integrated into your prudential risk management framework.
Practical, regulator-ready support that embeds SM&CR confidently across your organisation, tailored to your firm's specific needs.
When doing deals in a tough fund-raising environment your time is precious. We help you focus on growing your business by making sure your regulatory obligations are taken care of.
From Consumer Duty and financial promotions to the complexity of AIFMD, placement agents today must deliver quickly when the stakes are high but also operate with integrity and play by the rules. By providing practical working knowledge of the regulatory environment, we empower you to focus on deal making and growing your business sustainably.
Whether its advising fund managers on fund raising from institutions to exploring new markets, we integrate regulatory best practice into your processes. This ensures you operate within the rules without hindering your ability to take advantage of opportunities to close deals.
From investment rationales to scrutiny-proof marketing materials, we ensure you demonstrate to regulators and clients that your offering combines shrewd financial acumen with disciplined processes.
At Cosegic, our advice to investment firms goes beyond simply explaining the rules around capital adequacy and conduct. We also incorporate client suitability, conflicts of interest, ongoing monitoring and training into our advisory role. This creates a more holistic compliance programme.
From FCA and SEC compliance programmes to AIFMD, MiFID II, SM&CR, IFPR and Consumer Duty, we help you to prioritise your compliance obligations, meet legal standards and operate transparently. This builds confidence with regulators, clients and the market, making scaling operations more sustainable and seamless.
From FCA authorisation to transaction monitoring and annual compliance meetings – our full spectrum of support keeps you ahead of regulatory changes, minimises compliance risks, and increases your authority with regulators and clients.
The broad reach of the broker role can extend your risk exposure across multiple regulatory frameworks – from MiFID II and EMIR, to Consumer Duty and sanctions regimes. This places pressure on internal compliance teams to not just interpret and implement these rules, but to continuously monitor compliance, respond to queries, and prepare for regulatory inspections.
At Cosegic, we streamline and simplify compliance by embedding it directly into your everyday workflows. Whether it’s integrating AML and KYC principles into client onboarding or delivering employee training that makes following the rules second nature. This creates robust, compliant processes and audit-ready records that protect your business and withstand rigorous regulatory attention.
By helping you establish and maintain a robust compliance infrastructure, we help you stay ready to answer enquiries from the regulators. This ensures you can focus on helping your clients, whether its identifying acquisition targets, fund raising or restructuring.
From FCA enquiries about financial promotions and Consumer Duty to shifts in the SM&CR framework, by applying our expert knowledge we help you keep up to date and ready to respond.
Whether it’s benchmarking your approach to the financial promotions regime against that of your peers or advising on KYC requirements, we ensure regulatory best practice is embedded across your business so that you can answer regulatory enquiries with confidence.
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Our Experts
Find answers to the questions we’re asked most often, from our compliance and training services to how we can support your business.
Financial intermediaries — including placement agents, advisory firms, brokers, and corporate finance houses — are subject to a broad range of FCA regulatory obligations. These include FCA authorisation, MiFID II, EMIR, Consumer Duty, SM&CR, financial promotions rules, and AML and KYC requirements. The specific obligations depend on the nature of the firm's activities, making a tailored compliance framework essential to managing risk and maintaining regulatory confidence.
Consumer Duty has significantly raised the bar for financial intermediaries involved in the distribution of products and services to retail customers. Firms must demonstrate they are delivering fair value, communicating clearly, and supporting customers appropriately throughout the product lifecycle. For placement agents, advisory firms, and brokers, this requires robust governance, clear accountability, and documented evidence of good customer outcomes across every client interaction.
The broad reach of the broker role extends risk exposure across multiple regulatory frameworks simultaneously, including MiFID II, EMIR, Consumer Duty, and sanctions regimes. This places significant pressure on internal compliance teams to interpret and implement these rules while continuously monitoring compliance, responding to regulatory queries, and preparing for inspections — making specialist external compliance support a valuable resource.
Financial promotions are a key area of FCA scrutiny for financial intermediaries, with strict rules governing the content, approval, and distribution of promotional materials. Firms must ensure their investment rationales, marketing materials, and client communications demonstrate both financial acumen and disciplined, compliant processes. Benchmarking your approach against peers and embedding financial promotions best practice across the business is essential to avoiding regulatory intervention.
Cosegic provides financial intermediaries with practical, commercially aware compliance support across the full range of their regulatory obligations — from FCA authorisation and financial promotions to AML, KYC, SM&CR, and Consumer Duty. Whether embedding compliance into everyday broker workflows, developing holistic advisory compliance programmes, or ensuring corporate finance firms are ready to respond to FCA enquiries with confidence, we help financial intermediaries operate within the rules without hindering their ability to grow.
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