Whether you are a proprietary trader, family office, or wealth manager, regulatory expectations have never been higher.
Cosegic provides tailored, institutionally robust compliance support that protects your business and strengthens the trust of those who rely on you.
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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.
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Proprietary traders today have a myriad of challenges whether its market volatility, geopolitical risk or cyber security. At Cosegic, our advisers provide tailored guidance to help you meet regulatory challenges head on within this fast-paced environment.
From market abuse to IFPR and algorithmic trading, our regulatory experts are well placed to provide practical working solutions to the challenges you face so that you can focus on sustained investment performance.
From calibrating market abuse controls to assisting with enquires from the regulator on transaction reporting we help propriety traders protect their business by combining practical commercially aware advice with insights on the latest regulatory developments.
It’s no longer sufficient for family offices to simply be technically compliant. We help ensure your compliance framework is procedurally sound and robust enough to withstand the scrutiny of regulators and your clients.
From managing leverage to regulatory disclosures, family offices face regulatory complexity at every stage. Our advisers ensure you have a robust institutional-grade compliance framework in place that stands up to scrutiny.
From managing conflicts of interest arising from managing third party capital to Annex IV report our exports are able to help at every turn, ensuring robust systems and controls are in place so that your reputation is protected.
It’s no longer sufficient for wealth management to simply be technically correct. We help you to make sure your advice is also procedurally sound, transparently documented, and robust enough to withstand the scrutiny of regulators and your clients.
From KYC requirements and staff certification to suitability and shifting governance rules, wealth managers today are under pressure to not only deliver financial performance, but to do so with transparency, discipline, and prudence. By applying nuanced knowledge and establishing a robust compliance culture, we empower your business to build more successful advisory relationships.
Whether advising individuals planning for retirement, institutions managing endowments, or trustees of occupational pension plans, we embed regulatory best practice seamlessly into your processes. This allows you to operate compliantly, without jeopardising the personal touches of your customer service.
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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.
Proprietary traders, family offices, and wealth managers operating in the UK are subject to a range of FCA regulatory obligations. Proprietary traders must comply with market abuse controls, algorithmic trading requirements, IFPR capital rules, and transaction reporting obligations. Family offices managing third-party capital face additional obligations around AIFMD, Annex IV reporting, leverage management, and conflicts of interest. Wealth managers must meet suitability requirements, KYC standards, staff certification obligations, and Consumer Duty expectations.
Regulatory expectations for family offices have risen significantly, with the FCA expecting firms to go beyond technical compliance to demonstrate procedurally sound, robustly governed frameworks. Investors and clients conduct increasingly rigorous due diligence on compliance standards, and reputational risk is particularly acute for family offices managing wealth on behalf of high-net-worth individuals and families. An institutional-grade compliance framework is no longer optional - it is a prerequisite for protecting the business and maintaining client trust.
Wealth managers face a complex and evolving set of compliance obligations, including KYC requirements, staff certification under SM&CR, suitability assessments, shifting governance rules, and Consumer Duty expectations. The pressure to deliver financial performance while maintaining the highest standards of transparency, discipline, and prudence requires a compliance culture that is deeply embedded across the organisation and consistently applied across every client relationship.
Proprietary traders must maintain robust market abuse controls that are calibrated to the speed and complexity of their trading activity, ensuring they can detect, prevent, and report potential market abuse in real time. Algorithmic trading compliance requires additional controls around system testing, risk limits, and kill switches, as well as clear processes for responding to regulatory enquiries on transaction reporting.
Cosegic provides tailored compliance support for proprietary traders, family offices, and wealth managers, combining practical commercially aware advice with deep regulatory expertise. From calibrating market abuse controls and managing IFPR obligations to building institutional-grade compliance frameworks for family offices and embedding regulatory best practice into wealth management processes, we help investors protect their business, maintain regulatory confidence, and build more successful client relationships.
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