Sector
Cross-sector case studies
Support that applies across wealth, claims management and consumer finance: outsourced compliance and authorisation routes.
Cross-sectorAn outsourced compliance function for growing regulated firms
For firms without a full in-house compliance team, MEMA runs the compliance function: monthly horizon scanning, tracked actions and FCA support on call.
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Cross-sectorFrom appointed representative to its own FCA authorisation
A firm trading as an appointed representative wanted its own FCA authorisation. MEMA supported the controls it ran for its principal, then its application to be authorised directly.
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Client details are presented to protect confidentiality. Outcomes reflect specific engagements and are not a guarantee of results, as every firm's circumstances differ.
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Payment Services & EMIPayment institution authorised in 9 months after its application stalled
A payment institution's application had stalled after case-handler problems and the loss of key staff. MEMA got it moving again, and the firm was authorised in 9 months.
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Investment & Wealth ManagementInvestment authorisation saved after the FCA raised compliance concerns
Midway through an investment firm's application, the FCA raised concerns about its compliance arrangements. MEMA's ex-regulator team answered every point, and the firm was authorised.
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Consumer CreditCompliance function stabilised after a sudden departure
When its compliance resource left suddenly, a consumer credit firm had nobody covering its FCA obligations. MEMA became the interim compliance function, reviewed the firm's position and kept it stable for 6 months while it recruited.
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