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 facing a thematic review or an FCA visit
Common triggers
Warning signs and triggers
- An FCA letter, information request or Dear CEO follow-up
- A voluntary or own-initiative requirement (VREQ / OIREQ)
- 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 Dear CEO letters, information requests 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
Practical review and remediation support
A response the evidence can support
We map the FCA's questions to the relevant entities, periods and records, reconcile management's explanations and prepare a response that states both what is evidenced and what remains uncertain.
What you receive: Request and evidence matrix, controlled response pack and clearly owned next steps.
We agree whether MEMA is advising, implementing changes or providing independent assurance. Where roles could conflict, the scope and reviewer separation must address that before the work starts.