Find the gaps before the FCA does, with a tested, costed roadmap you can act on.

The situation

Most firms know where their strongest controls are. Fewer know where their regulatory framework has become inconsistent or where supervisory scrutiny is most likely to focus. The challenge is rarely a single missing policy. More often it is the way governance, monitoring, management information and documented controls have developed over time. Individual components may appear satisfactory in isolation, but taken together they no longer provide a consistent or demonstrable framework. An independent review provides a clearer picture of where those weaknesses exist, how significant they are and which issues should be addressed first.

What you are really buying

This is not a compliance audit for its own sake. It is an independent assessment of how your firm would present under supervisory scrutiny. We review your governance arrangements, compliance framework, policies, management information, monitoring programme and operational controls to identify the issues most likely to attract regulatory attention. Each finding is assessed according to regulatory significance, supported by evidence and accompanied by practical recommendations for remediation. The outcome is a prioritised report that enables management to focus on the issues that matter most rather than attempting to address every observation equally.

What's included

The engagement includes:

• An independent review of your governance and compliance framework.

• Assessment of policies, procedures and regulatory documentation.

• Review of management information, monitoring and oversight arrangements.

• Identification of regulatory gaps against current FCA expectations.

• A written findings report with each recommendation prioritised according to regulatory risk.

• A practical remediation plan with indicative implementation priorities.

• A mock supervisory walkthrough to discuss the findings, expected FCA questions and recommended next steps.

How it works

1. 1

   The review

   We examine the firm's governance arrangements, compliance framework, policies, management information, monitoring programme, regulatory calendar and supporting documentation. The review focuses on how the framework operates in practice rather than simply whether documents exist.

   You keep: An independent assessment of your current regulatory framework.

2. 2

   Findings and recommendations

   Each finding is supported by the underlying evidence, assessed according to regulatory significance and accompanied by practical recommendations. Recommendations are prioritised so management can distinguish between matters requiring immediate attention and those that can be addressed through normal business planning.

   You keep: A prioritised findings report and practical remediation plan.

3. 3

   Mock FCA visit

   We walk through the review as though it were a supervisory meeting, discussing the questions the FCA is likely to ask, the evidence expected to support key controls and the areas where further work may be required. This provides management with an opportunity to test the framework before supervisory engagement rather than during it.

   You keep: Greater confidence in how the firm would respond to supervisory scrutiny.

The guarantee

Proof

The review is led by a Senior Operator with experience assessing governance, compliance frameworks and regulatory controls across asset managers and investment firms. The same practical approach has been applied to firms managing more than US$850 billion in assets, helping boards and senior management identify regulatory weaknesses before they become supervisory issues.