Managing your ongoing obligations

As an FCA authorised firm you will be subject to increased reporting and notification requirements and mandatory annual audits.

Some obligations require independent verification, others demand more time and effort. This presents a considerable challenge for your compliance officers and management teams to provide the knowledge and expertise needed to remain compliant.

Our clients rely on us to provide them with specialist consultancy services and support in an ever evolving regulatory environment. With our retained service offerings, firms are given peace of mind they will be able to answer any questions, or get support to resolve issues, flagged by the regulator. We routinely solve client specific issues, assist with changes in business structure and the effect and impact of new regulation on systems, policies and procedures.

How we can help

We bring the experience we’ve gained working with firms facing similar issues to yours – which means you learn how your peers are addressing them.

Our retainer packages for Payment Services and Capital Markets firms utilise our proven systems and processes to minimise your time and resources, reduce your regulatory burden and make sure compliance makes a positive contribution to your business growth.

You’ll find us easy to deal with: we listen to and take the time to understand your challenges and opportunities. We simplify and clarify complex issues, offering practical, usable guidance and solutions that ensure your regulatory compliance.

 

texture coral

Our Services

Related project services:

Regulatory Reporting

Regulatory reporting is the main regular communication the FCA has with most firms. Mistakes in regulatory reporting can lead the FCA to conclude that the firm’s controls are not at an appropriate level, and lead to further investigation. We can help ensure that firms get it right the first time.
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

Compliance Healthcheck

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

Financial Crime

Under UK legislation, relevant firms must be able to demonstrate that they have robust governance, effective risk procedures and adequate internal control mechanisms to manage their financial crime risk. We help a broad range of firms across all financial sectors, with a special emphasis on those organisations for whom financial crime is especially complex and demanding.
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

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.

Related resources

View all resources
iStock 1437539329 Article

Capital Markets Newsletter - June 2024

Read more
iStock 1437647287 Article

OFSI issues general licence for “Personal Remittances”

Read more
iStock 1413706585 Article

Unwrapping the FCA's latest Financial Crime Guide updates

Read more
iStock 1181983763 Event

Webinar: Immediate Consumer Duty priorities and how to achieve customer understanding

Read more

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.