FCA Financial Regulation and Compliance Services

Simpla provides bespoke FCA and PRA regulatory support and consulting assistance to newly started or firmly established businesses operating throughout Europe in the fields of:

  • Discretionary and Advisory Investment Management
  • Solicitor Asset Management
  • Wealth Managers
  • Legal Firms
  • Actuarial Firms
  • Accountancy
  • Stockbroking
  • Venture Capital
  • Corporate Finance
  • Custody and Third Party Service Providers
  • Investment Funds
FCA Financial Regulation

Your business is important. Keeping on the right side of the ever increasing rules and guidance from the financial regulators takes time and effort. If you are starting, developing your business, seeking to acquire or just wish to remain compliant – we can help.

What key services can we provide:

  • Review of existing compliance structures and documentation
  • Preparation of manuals and risk-based monitoring programmes
  • Provision of training on anti-money laundering or other topics
  • Routine compliance monitoring or reviews
  • Due diligence on acquisitions or on third parties e.g. custodians
  • Authorisation, enforcement, investigation or supervision projects
  • Assistance with pre-screening compliance staff appointments
  • Advertising and publications checking
  • SEC IA Annual Compliance Reviews
  • Other services of a bespoke nature by arrangement.

Our client base covers venture capital managers, stockbrokers, investment firms, banks, financial intermediaries, insurance brokers, legal and accountancy firms – many on repeat assignments. Engagements vary from basic application work through due diligence to enforcement advice and resolution.

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