Brokers

We work collaboratively with sell-side firms to implement and maintain their FCA compliance programmes. Our clients (both brokers and market makers) operate in diverse asset classes including equity, bonds and commodities, in both professional and retail spheres.

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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

We have managed over 1,500 successful FCA applications across all sectors and frequently interact with the FCA to keep our understanding of its requirements fresh and up to date.

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SEC Registration

We support ERA and RIAs to achieve registration with the SEC by project managing the entire process and ensuring that their information is presented correctly.

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Variation of Permission

If you are an authorised firm looking to change your regulated activities, start a new business line or add new product/client types to your business line, we can support you with your variation of permission (VOP) application.

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Change in Control

If you are looking to acquire or increase control of a regulated firm you must send a notification to the FCA for a Change in Control (CiC) and have prior approval from the FCA before the transaction can go through. We can help you notify the FCA of the change and ensure that the CiC goes smoothly.

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Wind-down planning

The FCA has made it clear that all regulated firms need to understand how they would wind-down their business in practice. We have assisted numerous firms with theirs, so understand the scope and level of detail the FCA expects.

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Ongoing compliance support and regulatory projects

Ongoing Compliance Support

Cosegic support hundreds of firms with their ongoing compliance requirements, be it through regular compliance monitoring, online and classroom training, compliance assurance reviews or carrying out remediation required to meet regulatory obligations.

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Ongoing SEC Support

Our SEC ongoing regulatory support offering helps firms to stay on top of SEC rules and regulations.

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Secondments

Highly qualified compliance professionals available to support short and long-term resource requirements.

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Consumer Duty

A wide range of services options to support all firms with the implementation of the new Consumer Duty.

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Compliance Healthcheck

Our Compliance Healthcheck gives you comfort and peace of mind that you have appropriate compliance arrangements in place.

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Compliance Software

Our compliance software offering, PortALL, is a compliance management and learning management system. Built by our own team, it offers a full suite of compliance training courses, as well as a user friendly, effortless way to assist its clients in meeting their compliance obligations by automating and streamlining key regulatory processes.

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SMCR

Bespoke specialist consultancy services and Conduct Rules training that efficiently supports implementation and ongoing management of your SMCR obligations.

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Regulatory Reporting

Regulatory reporting is the main regular communication the FCA has with most firms. Mistakes in regulatory reporting can lead the FCA to conclude that the firm’s controls are not at an appropriate level, and lead to further investigation. We can help ensure that firms get it right the first time.

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ICARA

The IFPR introduced a new capital adequacy and risk assessment and supervisory review and evaluation process - the Internal Capital and Risk Assessment (ICARA). Our in-house prudential experts can help firms to master it.

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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.

Our team

Our team of ex-regulators, industry practitioners and subject matter experts help to minimise the regulatory burden, offering practical, usable advice and solutions that work for our clients and the Regulator.

It’s through the breadth and depth of their collective expertise and experience that we provide an outstanding service and ensure that compliance makes a positive contribution to a firm’s day-to-day running of their business.

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