Five Signs Your FCA Business Needs a Specialist FC
Most FCA-regulated businesses hire their first dedicated Financial Controller at the point where the absence of one has already caused a problem. The CASS reconciliation has failed an internal review. The GABRIEL return was submitted late. The FCA has sent a Dear CEO letter that …
What the FCA Expects From Your Finance Function
The FCA’s supervisory engagement with smaller regulated firms — wealth managers, DFMs, boutique investment firms, insurance intermediaries — is not the dramatic event the word ‘investigation’ implies. Most FC-level FCA contact is routine, bureaucratic and entirely manageable. But it is not something the FC at …
