Helping you to make
the difference
the difference
FCA coming to visit or asking for files and information for desktop review? Need some help?
Most firms get worried when the regulator asks for information or plans a visit. Not because they have done anything wrong but there is always that fear that they may find an inadvertent mistake or misunderstand your business.
We have experience of guiding firms through FCA visits and desktop reviews including help in preparing for visit and supply of information.
One new client contacted us as the FCA had threatened them with a referral to enforcement. However when we reviewed the issues we found that the real problem was miscommunication rather than breach of regulations. As a result we were able to help the client provide the FCA with information that removed the threat and a subsequent follow up check went without a hitch.
If you have a visit coming up, have received a request for files or information for a review and think you need some help and guidance then get in touch to see how we can help.
Most firms get worried when the regulator asks for information or plans a visit. Not because they have done anything wrong but there is always that fear that they may find an inadvertent mistake or misunderstand your business.
We have experience of guiding firms through FCA visits and desktop reviews including help in preparing for visit and supply of information.
One new client contacted us as the FCA had threatened them with a referral to enforcement. However when we reviewed the issues we found that the real problem was miscommunication rather than breach of regulations. As a result we were able to help the client provide the FCA with information that removed the threat and a subsequent follow up check went without a hitch.
If you have a visit coming up, have received a request for files or information for a review and think you need some help and guidance then get in touch to see how we can help.
