FCA REGULATION AND GOVERNANCE
Making regulation work for your business
Strong regulatory compliance and governance aren’t just good business practice—for regulated firms, it’s a regulatory requirement that can make or break your FCA relationship. The challenge lies in building frameworks that satisfy regulators while supporting, rather than hindering, your commercial objectives.
We work alongside you to design and implement governance systems that embed compliance into your everyday operations, creating sustainable frameworks that evolve with your business.
Beyond box-ticking
While compliance is mandatory, our approach goes further. We help you build governance frameworks that not only meet FCA expectations but actively support your business strategy and operational efficiency.
Rather than imposing generic compliance templates, we work as part of your team to develop governance systems and regulatory compliance programs tailored to your specific business model and risk profile.
Our deep understanding of FCA rules—particularly SM&CR and SYSC requirements—enables us to translate regulatory obligations into practical business processes that work in the real world.
Embedded solutions
Rather than imposing generic compliance templates, we work as part of your team to develop systems tailored to your specific business model and risk profile.
Regulatory compliance expertise
- AIFMD compliance – Alternative Investment Fund Managers Directive implementation and ongoing compliance for fund managers
- Financial promotions – clear guidance on promotion rules, approvals, and compliance frameworks to ensure marketing materials meet regulatory standards
- MiFID II requirements – Markets in Financial Instruments Directive compliance, including best execution, client categorization, and reporting obligations
- Collective investment schemes – regulatory frameworks for establishing and operating collective investment schemes within UK requirements
- Post-Brexit marketing – navigation of new marketing rules and cross-border arrangements following regulatory changes
- Marketing rules compliance – comprehensive support with evolving marketing and distribution regulations
- AML5 implementation – Fifth Anti-Money Laundering Directive compliance, including enhanced due diligence and reporting requirements
- FSMA compliance – Financial Services and Markets Act requirements across your business operations
- FCA Handbook navigation – practical interpretation and application of FCA rules across all relevant modules
Governance frameworks
- Policy development – comprehensive policy suites that translate regulatory requirements into clear operational guidance
- Training and embedding – staff training programs that ensure governance principles become part of your business culture
- Regulatory capital – streamlined processes that meet FCA requirements while providing useful management information
- Governance health checks – regular reviews to ensure your frameworks remain effective and current with regulatory developments
- SM&CR implementation – complete Senior Managers and Certification Regime setup, including role mapping, statements of responsibility, and ongoing compliance monitoring
- SYSC compliance frameworks – Senior Management Arrangements, Systems and Controls that integrate seamlessly with your business operations
- Board governance structures – effective board processes, committee structures, and decision-making frameworks that satisfy regulatory expectations
Partnership approach
- Setup phase: designing governance frameworks that work for your specific business model and growth plans
- Implementation: working with your team to embed new processes and ensure smooth adoption
- Ongoing support: regular review and refinement to maintain effectiveness as your business evolves
Why our approach succeeds
- Regulatory insight: deep knowledge of current requirements and evolving regulatory developments affecting fund managers
- Transparent service: clear communication that cuts through regulatory complexity and confusion
- Business focus: regulatory frameworks designed to support, not obstruct, commercial success
- Practical experience: we understand what works in practice across all areas of FCA regulation
- Proactive monitoring: via our Legal Shorts, we keep you informed of FCA changes.
Stay informed with our latest regulatory analysis and compliance guidance available on our publications page, where we break down complex FCA developments into practical advice
Next steps
Are your ready to build compliance that works? We combine comprehensive regulatory expertise with practical business understanding to create frameworks that drive success while maintaining full regulatory compliance.