Financial Intermediaries.
Placement Agents.
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.
Advisory.
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.
Brokers.
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.
Corporate Finance.
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.
