Compliance Advisory

We provide industry-leading ongoing consultancy services support which is constantly adapted to the ever-evolving regulatory environment. We also routinely solve client specific issues, offer ad-hoc project support, assist with changes in business structure and the effect and impact of new regulation on systems, policies and procedures.

Support with your compliance requirements

Our Services

Consumer Duty

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

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SMCR

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

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Compliance Healthcheck

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

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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.

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Secondments

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

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Safeguarding Audits

Safeguarding is the primary customer protection measure for payment services and e-money firms, hence it is one of the FCA’s main areas of focus for our sector. As one of the most knowledgeable and respected Payment Services regulatory compliance consultancies, we have the qualifications and experience to undertake the required independent safeguarding audit.

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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

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Notifications

Guidance for firms on submitting notifications to the FCA.

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AR Monitoring

Software powered service to manage FCA compliance in relation to Appointed Representatives.

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Our Sectors

Cosegic employs over 60 people who work together in industry specialist teams, servicing over 800 clients from the following sectors: Investment Firms, Consumer Finance & Insurance, Digital Finance, Financial Resilience and Financial Crime.

Investment Firms

Our investment firm team use their experienced regulatory knowledge to help asset managers and broker dealers with a full service offering over a large spectrum of regulatory issues.
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Consumer Finance & Insurance

We have eased the compliance burden for lenders and brokers as well as numerous consumer finance & insurance firms in sectors ranging from motor sales, healthcare and agriculture to retail, training, and utilities.
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Digital Finance

Our industry-leading team know the regulatory landscape inside out, with our experience extending from traditional and challenger banks, authorised e-money and payment institutions through to fintechs and cryptoassets.
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Financial Resilience

Our specialist Financial Resilience Team can help firms interpret their prudential requirements and avoid common errors that are likely to lead to unwanted attention from the regulator.
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Financial Crime

Cosegic’s experienced Financial Crime Team can help a broad range of firms across multiple different sectors, with a special emphasis on those organisations for whom financial crime is especially complex and demanding.
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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