Do not respond in haste. Triage what is being asked and by when, preserve relevant records, and align your response with your SMFs. We can help you scope a complete, accurate response quickly.
Respond to the FCA
Respond to FCA scrutiny with a clear plan
Facing a query, a voluntary requirement or a supervisory intervention? We help you respond confidently - evidence review, remediation planning and board & SMF support.
- 100+ firms authorised
- Operating since 2019
- Led by ex-FCA regulators
Who this is for
Is this you?
If more than one of these describes your firm, this is the right place to start.
- Firms that have received an FCA information request or query
- Firms under a VREQ, OIREQ or supervisory intervention
- Boards and SMFs managing personal accountability under pressure
- Firms preparing for, or responding to, a Section 166 review
Common triggers
Warning signs and triggers
- An FCA letter, information request or Dear CEO follow-up
- A voluntary or own-initiative requirement (VREQ / OIREQ)
- A skilled person (s166) review is proposed or underway
- Permissions are threatened, or remediation has been requested
- A controller, SMF or business-model change is being scrutinised
How we help
How an engagement runs
- 01
Understand
What has been asked, by whom, and what it is really testing — before anything is sent back.
- 02
Respond
A controlled, evidenced reply through a single point of contact, so nothing goes out unchecked.
- 03
Remediate
Address the cause rather than the symptom, with the governance to show it is being run.
- 04
Close
Evidence that the change held, which is the question a supervisor asks next.
- Firms Authorised
- 100+
- Sectors Covered
- 11
- Years' Experience
- 10+
What we do
Service packages
Voluntary Requirements (VREQ)
Negotiate, scope and discharge VREQs and OIREQs.
Voluntary Requirements (VREQ) service →FCA & Regulated Role Interview Preparation
Evidence-led preparation for FCA meetings and senior regulated-role interviews.
FCA & Regulated Role Interview Preparation service →FCA Supervisory Response
Structured responses to queries, letters, s166 reviews and interventions.
FCA Supervisory Response service →Remediation & Change
Remediation planning, delivery and regulatory change enablement.
Talk to us →What you get
How we help you respond
- Rapid triage of the FCA request and your exposure
- Evidence review and gap analysis against the issue
- A clear remediation plan with owners and timelines
- Board and SMF support, including interview preparation
- Direct FCA liaison drawing on ex-regulator experience
Frequently Asked Questions
Select a question to view the answer.
A voluntary requirement is a restriction a firm agrees to, often to avoid an own-initiative requirement. It is significant and time-sensitive. See our VREQ support service.
Urgent matters are triaged immediately. Use the urgency selector below or book a scoping call and we will prioritise time-critical FCA deadlines.
Book a regulatory scoping call
Speak with our regulatory specialists to scope your situation and recommended next steps.
How urgent is your matter?
- Led by ex-FCA regulators
- 100+ firms authorised since 2019
- 11 sectors supported
- We will tell you if you do not need us