FCA Notifications & Attestations
Helping firms manage FCA notifications and attestations accurately, efficiently, and in line with regulatory expectations.
FCA regulated firms have an obligation to be open and transparent with the FCA with regards to how their business is performing and operating.
Whether there is a change in structure, a breach of requirements or simply a change of address, such matters need to be communicated to the FCA as soon as practicably possible. Most of these notifications are carried out through the FCA’s Connect platform and will be on an ad hoc basis.
CONFIDENCE IN YOUR NOTIFICATIONS.
As your second line of defence, we provide an extra layer of security to your Firm to ensure that you maintain transparency with the regulator, in particular in the event of change for your business. Our team invest in understanding your business and processes, we can then raise to you incidents that may require notification to the FCA.
Further, our experienced consultants will help draft concise and professional timely notifications when required to satisfy the FCA’s requirements and expectations, maintaining client confidentiality and allowing you to focus on growing your successful business.
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Recognition
We help you identify and assess incidents or changes from governance updates to breaches or structural adjustments that require notification to the FCA
Response
Our consultants prepare precise, timely, and regulator-ready notifications that maintain transparency while safeguarding client confidentiality.
Reassurance
With clear processes and experienced oversight, we give your firm confidence that all notifications and attestations meet FCA expectations, protecting both your regulatory standing and reputation.
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FREQUENTLY ASKED QUESTIONS
Find answers to the questions we’re asked most often, from our compliance and training services to how we can support your business.
What are FCA notifications and when are they required?
FCA notifications are formal communications that regulated firms are required to make to the FCA when certain trigger events occur. These include changes to a firm's structure, ownership, or senior management, breaches of regulatory requirements, material changes to business activities, and other significant events that the FCA needs to be aware of to carry out its supervisory functions.
What is the FCA Connect platform and how is it used for notifications?
FCA Connect is the online portal through which regulated firms submit most of their notifications and applications to the FCA. It is used for a wide range of submissions, including change in control notifications, variations of permission, approved persons applications, and ad hoc notifications of material changes or regulatory breaches.
What are the consequences of failing to notify the FCA in a timely manner?
Failing to notify the FCA of a trigger event in a timely manner is a serious regulatory breach that can result in enforcement action, financial penalties, and reputational damage. The FCA expects regulated firms to maintain robust processes for identifying and escalating notification obligations, ensuring they are met as soon as practicably possible.
What information should an FCA notification include?
An FCA notification should be clear, concise, accurate, and professionally drafted, providing the FCA with all the information it needs to understand the nature of the change or event being notified. Supporting documentation should be well-organised and presented in a way that demonstrates transparency, accountability, and a proactive approach to regulatory compliance.
How can Cosegic help manage our FCA notification obligations?
Cosegic acts as a second line of defence, helping regulated firms maintain transparency with the FCA by identifying events that may require notification and drafting concise, professional, and timely submissions. Our team invests in understanding your business and processes, ensuring your notification obligations are met accurately and on time while allowing you to focus on your core activities.