Regulatory advisory & FCA engagement

Practical support across the regulatory lifecycle — from authorisations and new launches to regulatory change, prudential requirements and FCA correspondence — with implementation planning that turns requirements into action.

Arrange a discussion

Areas of support

What support can include

Scope is agreed with each firm; the items below are illustrative rather than a fixed package.

FCA authorisations, variations of permission, change in control and notifications
New firm and fund launch readiness, including pre-launch framework design
Regulatory change identification, interpretation and implementation (MiFID II, IFPR, AIFMD, UCITS)
Prudential support, including IFPR and ICARA documentation and process
Support with FCA correspondence, information requests and supervisory engagement
Regulatory reporting support and notification readiness
Financial crime compliance (AML/CTF, sanctions, PEP screening, enhanced due diligence)
Financial promotions, website and marketing compliance review

Financial crime

AML, CTF & sanctions support

Support with AML/CTF frameworks, sanctions controls, business-wide and customer risk assessments and related compliance documentation, within agreed scope.

Financial promotions

Fair, clear and not misleading

Review of financial promotions, website and marketing material against a fair, clear and not misleading standard, within agreed scope — helping firms communicate appropriately without overstating.

How it works

A clear, structured process

Identify what applies

Assess which regulatory developments or interactions are relevant to the firm.

Interpret and plan

Translate requirements into a practical implementation plan with clear ownership.

Support engagement

Assist with FCA correspondence, applications and notifications within agreed scope.

Implement and evidence

Help embed changes and maintain records that evidence the firm’s response.

Scope & regulatory boundaries

Bishopsgate Vector is not authorised or regulated by the Financial Conduct Authority. It does not provide investment advice, manage investments, arrange investments or hold client money.

Where support relates to a Senior Management Function, including SMF16 (Compliance Oversight), any arrangement is subject to appropriate client agreement, defined role scope, applicable regulatory requirements and FCA approval where required. Client firms remain responsible for their own regulatory obligations.