Notifiying the FCA
From time-to-time firms may be required to inform the FCA of certain events outside their normal reporting schedule such as governance arrangements, business models changes, safeguarding arrangements, regulatory breaches and changes in control.
How we can support you
We can help guide the firm in terms of the method of notification and, importantly, the appropriate language to be used. We can also support firms with notifications of ‘regulatory transactions’ such as changes in control and appointment/removal of PSD/EMD Individuals.
In both cases, we will work with the firm to clearly understand the challenge being faced and provide a straight answer and simple solution to address it.
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.
