Our expertise
We take new start-ups through the FCA authorisation process (and FINRA registration if relevant) and ensure that compliance is embedded into their business processes. We support firms’ day-to-day compliance needs, realising commercial opportunities and overcoming regulatory challenges. Secondment as well as advisory support can also be provided.
Our consultants include former FCA regulators, in-house Compliance Officers/MLROs, industry practitioners and compliance consultants. They have many decades of combined experience in understanding and interpreting regulatory obligations. They understand the key regulatory risks faced by broking and market maker clients, including governance, conflicts of interest, conduct of business, financial crime and market abuse, and regulatory disclosures. We help brokers to get to grips with complex current and upcoming regulations including MiFID II, SM&CR, IFPR and the Consumer Duty. We will act as their eyes and ears on regulatory developments coming down the pipeline, including a host of initiatives spawned by the UK’s Future Regulatory Framework Review and the Edinburgh Reforms.
FCA authorisations and application services
We support firms with a full suite of FCA/SEC authorisation and application services.
FCA Authorisation
SEC Registration
Variation of Permission
Change in Control
Wind-down planning
Ongoing compliance support and regulatory projects
Ongoing Compliance Support
Ongoing SEC Support
Secondments
Consumer Duty
Compliance Healthcheck
Compliance Software
SMCR
Regulatory Reporting
ICARA
Why choose Cosegic?
Our 360 degree perspective of regulatory affairs
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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
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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
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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
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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.
