Cross-sector case studies

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  Cross-sector

  An 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-sector

  From appointed representative controls to direct authorisation

  A firm working as an appointed representative moved to its own FCA authorisation. MEMA supported the controls it provided to its principal, then the direct application.

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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.