Investment & Wealth Management case studies

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  Investment & Wealth Management

  Investment 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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  Investment & Wealth Management

  Voluntary requirement lifted after a 9-month remediation programme

  After FCA supervisory feedback, an advice firm was under a voluntary requirement on its retirement income advice. MEMA ran the remediation programme, and the requirement was lifted.

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  Investment & Wealth Management

  Fair value evidence and a remediation plan for legacy fees

  A wealth manager had mapped its products for the Consumer Duty but was not checking whether ongoing advice fees on older, closed-book products still gave fair value. MEMA built the evidence and a costed remediation plan.

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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. For this sector, locations and exact timings are generalised to protect confidentiality.