Nine risks that can emerge when regulated firms grow
Explore the FCA’s high-growth firms review, key governance risks and practical actions for payments, asset management and wealth management firms.
Solution: Consolidation, Acquisition & Regulatory Due Diligence
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FCA CP26/28: What the AIFM regime reforms mean for wealth managers and firms
The FCA has launched consultation CP26/28, proposing significant reforms to the UK Alternative Investment Fund Manager (AIFM) regime. The proposals…
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Will Value for Money assessments change how advisers compare pension providers?
The FCA’s proposed Value for Money (VFM) Framework could reshape how workplace pension schemes are assessed, introducing greater transparency, benchmarking…
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Comprehensive UCIS review without the cost burden
By combining UCIS expertise, remediation support and adviser upskilling, TCC Group enabled the client to address historic issues, strengthen its…
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Top-end consultancy deployment: Strategic compliance leadership
Through the deployment of an interim Head of Compliance, TCC Group implemented governance improvements, embedded new ways of working and…
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Responsive resourcing
By sourcing and deploying experienced regulatory consultants within one week, TCC Group enabled the client to complete its annual monitoring…
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Regulatory due diligence
Through cultural assessments, employee engagement, customer outcome reviews and enhanced management information, TCC Group helped a financial services group build…
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RegTech remediation project
Using a bespoke RegTech solution and a risk-based review methodology, TCC Group completed 5,000 case reviews in four days, reducing…
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Compliance review and remediation
Following a detailed review of controls, systems and processes, TCC Group developed and implemented a targeted remediation plan, helping the…
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Designing a more effective and efficient compliance function
Using a two-phase regulatory due diligence review, TCC Group assessed governance, compliance controls, past business and organisational culture, helping the…