Challenge

Within 8 weeks, support a global business to both prepare and submit an application for FCA authorisation and (where required) re-engineer its business to ensure it complies with FCA regulation.

Delivered

A robust FCA authorisation application and a major programme of work to align the business with FCA expectations.

Outcome

A delighted client who has submitted a robust and comprehensive FCA authorisation application with a programme of compliance improvement in hand.

Challenge

Review in short time the application for FCA authorisation, making recommendations for where changes and improvements needed to be made and providing a FCA style test of how the application might be received.

Outcome

Client continues to work with its existing advisors but with the confidence of third party QA from TCF, a suite of recommendations and anticipation of how its application might be received from former regulators working with TCF.

Challenge

Within a month, complete a full review of a client’s Anti Money Laundering arrangements, implement training and upgrade the policy handbook.

Delivered

A comprehensive AML process review complete with recommendations and actions, designed AML training and upgraded AML policy handbook.

Outcome

Developed renewed client confidence that their AML arrangements were robust and able to stand up to regulatory scrutiny.

Challenge

Deliver an investor in innovative start up, with context and insights into what the regulatory impacts might be of their design and product choices.

Outcome

An effective two hour workshop which enabled the investor and start up to better consider what their choices are and to narrow the options on their design products in a cost efficient way.