Specialist Areas ComplyPath>

We support firms subject to CASS and safeguarding requirements under FCA and EMR/PSR rules. Our work helps firms build, review, and remediate control frameworks that are clear, operational, and audit-ready.

Services include

• Advisory — Design of CASS and safeguarding frameworks, governance structures, and oversight models.
• Assurance — Independent control testing, CASS audit readiness, and documentation reviews.
• Remediation — Resolution of control failures, breaches, or audit issues.
• Authorisations — Business plan drafting and application support for firms seeking permission to hold client money or safeguarded funds.

We assist firms in building and maintaining effective financial crime controls covering AML, CTF, sanctions, and fraud prevention.

Services include

• Advisory — Development of financial crime policies and risk-based approaches.
• Assurance — Reviews of AML/CTF systems, controls, and governance structures.
• Remediation — Targeted programmes to address internal audit or regulatory findings.
• Authorisations — Preparation of financial crime documentation for FCA applications.

We support the development of risk management frameworks that are proportionate, effective, and embedded in operational governance.

Services include

• Advisory — Design of risk frameworks, registers, and risk appetite statements (RAS).
• Assurance — Reviews of existing frameworks and Board-level risk oversight.
• Remediation — Enhancing internal controls, escalation procedures, and governance documentation.
• Authorisations — Development of risk-related sections for FCA submissions and internal capital assessments (ICARA/ICAAP).

We also support firms with operational resilience requirements under SYSC 15, as well as compliance with the Digital Operational Resilience Act (DORA) for EU-regulated firms.

We manage UK and cross-border regulatory applications across financial services and payments regimes.

Services include

• Advisory — Market entry strategy, regulatory structuring, and licensing options.
• Assurance — Pre-submission readiness reviews and documentation audits.
• Remediation — Response planning and application resubmission where needed.

We coordinate across internal teams and external counsel to ensure that submissions are accurate, complete, and regulator-ready.