Core Services

MIFIDPRU

Support across all aspects of the Investment Firms Prudential Regime, including:

  • Review of K-factor calculations

  • Deep-dive assessment of regulatory reporting, including a one-off review of your MIFIDPRU returns (MIF001 to MIF008)

  • Interpretation of rules where alternative approaches exist

Risk Management

Support in developing and strengthening risk frameworks:

  • Risk workshops

  • Risk registers and risk maps

  • Internal control reviews

  • Business process improvement

Covering credit, liquidity, operational and regulatory risk.

ICARA Frameworks

Development and review of ICARA processes, including:

  • Preparation of ICARA documentation and MIF007 return

  • Review and enhancement of existing frameworks

  • Adapting ICARA for new business initiatives

CASS

Advisory support across client assets requirements:

  • CASS risk workshops

  • Mapping tables and risk assessments

  • CMAR reporting reviews

  • Internal control reviews

  • CASS Resolution Packs

Senior Manager & Certification Regime

Governance design and board-level regulatory oversight. We can assist firms in building robust and proportionate corporate governance structures that withstand supervisory scrutiny while remaining commercially practical.

We offer regulatory advisory services and do not carry out any activities that constitute regulated activities under the rules of the Financial Conduct Authority (FCA), including but not limited to the provision of investment advice. FCA-authorised firms engaging our services retain sole responsibility for their compliance functions and adherence to applicable regulatory requirements.

Regulatory Training

Tailored training for MiFID investment firms covering:

  • MIFIDPRU

  • CASS

Courses are customised based on:

  • Participant knowledge

  • Learning objectives

  • Application of rules

Delivered in-person or online, with interactive sessions and supporting materials.

Contact Us

Working With Advisory Firms

We work alongside consulting and advisory firms requiring specialist regulatory expertise to support client engagements.

To discuss your regulatory needs, please get in touch.