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.
Who this is for
✓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 preparing for, or responding to, a Section 166 review
Warning signs and triggers
- →An FCA letter, information request or Dear CEO follow-up
- →A voluntary or own-initiative requirement (VREQ / OIREQ)
- →A skilled person (s166) review is proposed or underway
- →Permissions are threatened, or remediation has been requested
- →A controller, SMF or business-model change is being scrutinised
Service packages
Voluntary Requirements (VREQ)
Negotiate, scope and discharge VREQs and OIREQs.
Voluntary Requirements (VREQ) service →FCA Supervisory Response
Structured responses to queries, letters and interventions.
Talk to us →Remediation & Change
Remediation planning, delivery and regulatory change enablement.
Talk to us →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.
Book a regulatory scoping call
Speak with our regulatory specialists to scope your situation and recommended next steps.
How urgent is your matter?