Services Compliance Advisory

Support with your compliance requirements

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.

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

We employ over 60 people who work together in industry specialist teams, servicing over 800 clients from the following sectors: wholesale investment firms (including hedge funds, private market firms, corporate finance and brokers), capital markets (including asset managers and broker/dealers), wealth management, payment services and cryptoassets, consumer credit and insurance and lending.

  • Wholesale Investment Firms

    Wholesale Investment Firms

    Our large team of wholesale industry experts work with clients including hedge fund managers, private markets firms, brokers and corporate finance firms.

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  • Capital Markets

    Capital Markets

    Our capital markets 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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  • Wealth Management

    Wealth Management

    Cosegic’s experienced Wealth Management team can help you interpret the regulations, using our in-depth knowledge to simplify complex regulations.

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  • Payment Services Cryptoassets

    Payment Services and Cryptoassets

    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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  • Insurance Mortgages Claims

    Insurance, Mortgages and Claims

    We advise clients ranging from insurance brokers, insurance companies, managing general agents and intermediaries involved in insurance mediation, such as motor dealerships and call centres.

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  • Consumer Credit

    Consumer Credit

    We have eased the compliance burden for lenders and brokers across numerous consumer credit firms in sectors ranging from motor sales, healthcare and agriculture to retail, training, and utilities.

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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