Broker Dealers

Our in-house specialists are best-placed to help minimise the regulatory burden on firms.

SPEAK TO AN EXPERT SIGN UP TO RECEIVE REGULATORY UPDATES

Our expertise

We have been helping Broker Dealer firms with their compliance obligations since we were founded in 2003, with firms ranging from new start-ups seeking help with their FCA authorisation process, to fully established firms looking for a review of their compliance arrangements or a new ongoing compliance retainer contract.

Our in-house Capital Markets team have extensive experience of working with Broker Dealers and within that team we have subject experts who can advise on firms on areas that the FCA is paying close attention in the Broker Dealer sector.

Our breadth of experience allows us to balance firms’ business objectives with their compliance requirements and we have built our services and offerings specifically to help our clients confidently navigate regulation.

FCA authorisation and application services

We support Broker Dealers with a full suite of FCA authorisation and application services.

FCA Authorisation

We have managed over 1,500 successful FCA applications across all sectors and frequently interact with the FCA to keep our understanding of its requirements fresh and up to date.

Find out more

Variation of Permission

If you are an authorised firm looking to change your regulated activities, start a new business line or add new product/client types to your business line, we can support you with your variation of permission (VOP) application.

Find out more

Change in Control

If you are looking to acquire or increase control of a regulated firm you must send a notification to the FCA for a Change in Control (CiC) and have prior approval from the FCA before the transaction can go through. We can help you notify the FCA of the change and ensure that the CiC goes smoothly.

Find out more

Wind-down planning

The FCA has made it clear that all regulated firms need to understand how they would wind-down their business in practice. We have assisted numerous firms with theirs, so understand the scope and level of detail the FCA expects.

Find out more

Brexit and TPR

If you are a firm from within the European Economic Area (EEA) and are looking to continue or start offering financial services in the UK, we can help you to get authorised and regulated by the FCA.

Find out more

FCA Sandbox

The FCA Sandbox is open to authorised firms, unauthorised firms that require authorisation and technology businesses that are looking to deliver innovation in the UK financial services market. Cosegic can help firms prepare their application to enter the FCA Sandbox and help them navigate through to successful authorisation.

Find out more

Ongoing compliance support and regulatory projects

Ongoing Compliance Support

Cosegic support hundreds of firms with their ongoing compliance requirements, be it through regular compliance monitoring, online and classroom training, compliance assurance reviews or carrying out remediation required to meet regulatory obligations.

Find out more

Compliance Healthcheck

Our Compliance Healthcheck gives you comfort and peace of mind that you have appropriate compliance arrangements in place.

Find out more

Secondments

Highly qualified compliance professionals available to support short and long-term resource requirements.

Find out more

Consumer Duty

A wide range of services options to support all firms with the implementation of the new Consumer Duty.

Find out more

SMCR

Bespoke specialist consultancy services and Conduct Rules training that efficiently supports implementation and ongoing management of your SMCR obligations.

Find out more

Financial Promotions

We’ll review of your firm’s financial promotions to ensure that you are meeting the FCA’s financial promotion rules and Advertising Standards Authority guidelines

Find out more

Why choose Cosegic?

Our 360 degree perspective of regulatory affairs

01

Our 360 degree perspective of regulatory affairs

Our wide range of financial sector experts come together on a regular basis to discuss their interactions with the FCA and the regulatory trends that they are seeing, providing us with a more informed understanding of the FCA than our competitors.

Direct, proportionate advice

02

Direct, proportionate advice

Our unique perspective means we really do have our fingers on the pulse of regulation, which helps us to ensure that the advice we offer is practical, helpful and directly proportionate to our clients’ needs.

Our understanding of the role of compliance in firms

03

Our understanding of the role of compliance in firms

We have watched the evolution of compliance over the past twenty years and understand that compliance must now become a core part of how financial services carry out their businesses in order for them to be successful.

Compliance confidence for visionary growth

04

Compliance confidence for visionary growth

In recognising this, our services have been built in a way that can help you navigate regulation ensuring you will keep your vision and objectives intact. Our breadth of experience allows us to balance your business objectives with your compliance requirements.

Our team

Our team of ex-regulators, industry practitioners and subject matter experts help to minimise the regulatory burden, offering practical, usable advice and solutions that work for our clients and the Regulator.

It’s through the breadth and depth of their collective expertise and experience that we provide an outstanding service and ensure that compliance makes a positive contribution to a firm’s day-to-day running of their business.

MEET THE COSEGIC TEAM