Case Study
1 min read
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15/04/2025
We managed a full s166 review, addressing CASS and TOM concerns to secure FCA satisfaction and reinforce governance for an investment manager.
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2 min read
18/03/2025
We carried out an assurance review that streamlined policies, strengthened record-keeping and brought the investment company’s controls up to FCA standards.
Blog
3 min read
25/02/2025
Suitability – are your records up to date?
25/10/2024
Identification of vulnerable clients – is your firm meeting the FCA’s expectations?
4 min read
25/09/2024
Client re-categorisation rules: Key takeaways
21/05/2024
Interim update on FCA supervision of asset management and alternatives
5 min read
09/05/2024
The essential guide to moving from being an AR to authorisation
