FCA Authorisation Status: Active
FRN: 123456 | Permissions: 12 | Last FCA Visit: May 2024
Authorised & Regulated
Requirement Coverage
98.7%
74/75 requirements met
Capital Surplus
152.4%
of requirement
Senior Managers
5
SM&CR approved
Client Money
£245M
CASS protected
FCA Regulatory Framework Compliance
| Requirement | Sourcebook | Description | Controls | Implemented | Status |
|---|---|---|---|---|---|
UK AIFMD | FUND | Alternative Investment Fund Managers Regulations requirements | 10 | 10 | Compliant |
Senior Managers Regime (SM&CR) | SYSC | Senior managers, certification regime, and conduct rules | 8 | 8 | Compliant |
Client Assets (CASS) | CASS | Client money and assets protection requirements | 12 | 12 | Compliant |
Conduct of Business (COBS) | COBS | Rules for conducting investment business with clients | 15 | 14 | Partial |
Financial Crime (SYSC) | SYSC | AML, sanctions, fraud prevention, and market abuse | 7 | 7 | Compliant |
Prudential Requirements | IFPRU/MIFIDPRU | Capital requirements and financial resources | 9 | 9 | Compliant |
Operational Resilience | SYSC 15A | Important business services and impact tolerances | 6 | 6 | Compliant |
Consumer Duty | PRIN 2A | Cross-cutting rules and four outcomes for consumer protection | 8 | 8 | Compliant |
| Total | 75 | 74 | 98.7% |
SM&CR Status
Senior Managers5
Certified Persons18
Conduct Rules Training
Complete
Annual Certification
Current
CASS Compliance
Client Money£245.0M
Daily Reconciliation
Complete
Acknowledged Trust
Active
CASS 5 AuditSeptember 2025
Capital Position
Own Funds£12.5M
Capital Requirement£8.2M
Surplus£4.3M
Liquid Assets£18.2M
Senior Managers Regime
| Name | SMF | Role | Approval Date | Status |
|---|---|---|---|---|
| John Robertson | SMF1 | Chief Executive Function | January 2020 | Active |
| Sarah Williams | SMF3 | Executive Director | March 2020 | Active |
| Michael Chen | SMF16 | Compliance Oversight | January 2020 | Active |
| Emma Thompson | SMF17 | Money Laundering Reporting Officer | February 2021 | Active |
| David Patel | SMF24 | Chief Operations Function | June 2022 | Active |
Consumer Duty Outcomes
Products & Services
Products and services designed to meet customers' needs
Implemented
Price & Value
Fair value assessment of products and services
Implemented
Consumer Understanding
Clear communications that support customer understanding
Implemented
Consumer Support
Appropriate support throughout product lifecycle
Implemented
Operational Resilience
Portfolio Management
Impact tolerance: 4 hours
Within Tolerance
Client Onboarding
Impact tolerance: 24 hours
Within Tolerance
Trade Execution
Impact tolerance: 2 hours
Within Tolerance
Client Reporting
Impact tolerance: 48 hours
Within Tolerance
FCA Reporting & Notification Requirements
Principle 11: Relations with Regulators
A firm must deal with its regulators in an open and cooperative way, and must disclose appropriately anything relating to the firm of which the FCA would reasonably expect notice.
SUP 15 Notifications
Notifications required for matters including SM&CR changes, significant events, regulatory capital issues, fraud, and changes to business activities.
UK AIFMD Reporting
Annual reporting to the FCA including Annex IV-equivalent reporting for full-scope AIFMs, covering fund leverage, risk profiles, and investor concentration.
Key Contacts
- FCA Supervision: Investment Management Directorate
- Supervision Hub: Available
- Connect Portal: Active
- Last Supervisory Contact: September 2025
Upcoming Deadlines
- RMA-A Controllers Report: December 31, 2025
- Annual Certification: December 31, 2025
- REP-CASS Resolution Pack: March 31, 2026