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130 Wood Street, London, EC2V 6DL
enquiries@buzzacott.co.uk    T +44 (0)20 7556 1200

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Regulatory reporting and advisory services

As a financial services firm, you face ever-changing and complex reporting requirements. Let our award-winning regulatory reporting and advisory team look after you, so that we become your trusted partners to navigate the regulatory landscape.

We make it our business to understand yours. That way we can help you accommodate new regulations quickly, painlessly, and efficiently. Giving you one less distraction, and more time to focus on what matters.

What we can offer your firm

What Buzzacott can offer your business:

  • Prudential reporting - including the calculations and preparations of regulatory returns that sit under the MIFID and AIFMD legislations 
  • Annex IV reporting - under the Alternative Investment Fund Managers Directive (AIFMD), including multi-jurisdictional reporting across all jurisdictions in the EU
  • Form PF, CPO-PQR reporting service
  • Advisory services on the set-up of appropriate capital structuring
  • Advisory services relating to financial adequacy rules under both MiFID and AIFMD specifically for firms operating as ‘Collective Portfolio Management Investment’ firms
  • Preparation of ‘Internal Capital Adequacy and Risk Assessment’ process documentation (ICARA) in compliance with MIFIDPRU 7, including detailed financial projection and stress testing analysis, including reverse stress testing 
  • Consultation and preparation of ‘wind down plans’ as per the FCA’s guidance set out in the ‘WDPG’ 
  • Preparation of complex monitoring workbooks tailored to the investment firm’s needs, monitoring of capital and liquidity adequacy, including metrics under the ‘Overall Financial Adequacy Rule’ 
  • Supporting FCA authorisation and variation of permission (VoP) applications, especially regarding financial projections, stress testing, ICARA and wind-down plan documentation.
  • Preparation of public disclosures along with the application of remuneration codes
  • Consultation on SM&CR, liquidity policies, close links & controllers reporting, remuneration policies etc.
  • Support with CASS compliance




                                Priya Mehta, Partner


                       Edward Fullard, Associate Director


                             Angus Peagam, Senior Manager

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