FCA Regulated Businesses
Our team will help you meet your regulatory requirements
We provide a comprehensive suite of Governance, Risk, Compliance and Prudential Regulation solutions and guidance to help you meet your Financial Conduct Authority (FCA) regulatory requirements
FCA Regulated Businesses
How our team supports FCA Regulated businesses
Becoming authorised and regulated by the Financial Conduct Authority (FCA) can be a complex process. It is important to get your application submission right the first time. Gerald Edelman can take your firm through the whole FCA application process ensuring that all documentation is fit for purpose, and are there to support you during the post-submission stage until you are duly authorised and regulated by the FCA.
Being at the end of an FCA investigation or supervisory review, whether that be under a Section 165 or a Section 166 is undoubtedly time consuming for the Board, senior managers and employees of a firm under investigation. Gerald Edelman can assist you in dealing with the remediation process in a structured and efficient manner in order to get your firm back on track and move on from the FCA investigation process.
Governance and Risk Management
Gerald Edelman can help you with the design and implementation of the appropriate governance framework for your firm, as well as providing expertise in risk management frameworks, which also includes the design of regulatory financial models, stress testing and scenarios framework, risk assessments, harms registers, wind-down plans and documentation of your capital and liquidity assessments, e.g. ICARA and ICAAP.
Gerald Edelman can assist your Compliance department in unravelling the sometimes confusing minefield of FCA rules and various regulations, in an easy-to-understand and client-centric manner. We can held develop and/or enhance your Compliance Monitoring Plan, as well as providing Compliance Health Checks and ad-hoc Compliance Advice.
Gerald Edelman provides bespoke specialist advice and guidance on FCA prudential compliance on regulations such as the Investment Firms Prudential Regime (IFPR) and the Capital Requirements Regulation (CRR/CRDIV).
Client Money and Assets (CASS)
We can provide you with in-depth advice and guidance in all CASS related matters, including the implementation of your detailed CASS Risk and Controls Rules Mapping framework, CASS Policy and CASS Resolution Pack.
Gerald Edelman can assist you in the design and implementation of your Financial Crime Framework with a suite of policies and procedures.
Senior Managers and Certification Regime (SM&CR)
We can help design and implement your SM&CR framework as well as review your existing framework and documentation and provide feedback on where improvements are required.
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Planning the long-term growth of your organisation is often easier said than done, especially when so much of your focus is spent on solving the day-to-day challenges that come with running a business.
Having an adviser to help you work ‘on’ your business should give you the discipline required to plan and control growth.
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FCA Regulated Businesses Team
why choose us
Why Gerald Edelman?
We aim to provide our clients with an easy to understand way of unpicking the rules and regulations that firms authorised and regulated by the FCA must adhere to.
The regulatory support team at Gerald Edelman have first-hand experience of working with external professional advisers and consultants and appreciate this can sometimes be a frustrating and costly experience.
We will support your business by using our practical knowledge and experiences of implementing the FCA rules and dealing first-hand with the FCA supervisory and enforcement teams, as well as using our theoretical knowledge of the FCA Handbook and associated regulations.
We provide regulatory support services across a wide spectrum of firms within the FCA regulatory environment, including: Arrangers and Advisers, Appointed Representatives and Principal Firms, Asset Managers, Hedge Funds, Investment Banks, Retail Banks and Wealth Managers