FCA reporting and capital adequacy.

The financial services sector has seen wave after wave of new regulations over the last 20 years and this has changed how the industry operates beyond recognition.

From the ‘relatively’ straight forward capital adequacy reporting rules, the reporting requirements are now at an unprecedented level of complexity. Also, most reporting requirements are now quarterly as opposed to half-yearly or annual; which makes the whole reporting cycle a ‘continuous’ exercise.

The pace of change is beyond our control but our focus has been on developing a thorough understanding of all the intricate regulations that have affected businesses in all fields (asset management, corporate finance, advisory, brokerage services etc.) We aim to make the regulatory reporting obligation for our clients as simplified and seamless as possible and integrate some of the on-going monitoring requirements within the financial reporting services. 

Buzzacott’s financial services sector outsourcing team are specialists in delivering FCA regulatory reporting and advisory services. Talking to clients pro-actively, decoding new regulations and assisting clients with the regulatory reporting burden is our area of expertise. 

  • Advice on appropriate capital structures and monitoring of capital resources
  • Assistance with projections under MiFID II as part of FCA applications
  • Preparation and review of the requisite FCA returns
  • Advice on Capital Requirements Directive IV and V including COREP reporting
  • Annex IV reporting under the Alternative Investment Fund Managers Directive (AIFMD) including multijurisdictional reporting across the EU
  • Form PF and CPO-PQR reporting
  • Preparation of ICAAPs including tailored Pillar 2 assessments and stress testing
  • Preparation of Pillar 3 disclosures along with the applicable remuneration codes
  • Consultation on the Senior Managers & Certification Regime including compliance with the certification rules
  • Consultation on the EU Investment Firms Directive and Regulation (IFD and IFR)

You can find out about some of our regulatory experts via their biographies, some of which you can access via the links at the bottom of this page.

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