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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. Watch our recent webinar: The FCA's Capital Adequacy Framework below.

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. We provide;

  • Support with the FCA's investment firm prudential rules - IFPROur dedicated IFPR hub can be found here.
  • 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
  • Preparation of ICARA including tailored 'assessment of harms', stress testing, wind down plan preparation and OFAR monitoring 
  • Preparation of public disclosures along with the applicable remuneration codes under the IFPR
  • Annex IV reporting under the Alternative Investment Fund Managers Directive (AIFMD) including multi-jurisdictional reporting across the EU

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. Alternatively, send us a message via the form below and one of our experts will be in touch.

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