Our team brings industry-leading expertise, with members who have served as both regulators and consultants, offering unparalleled insight into managing and processing complex applications. We work closely with clients from the outset, gathering essential information to create a tailored, comprehensive application pack that meets their specific needs. Our applications team manages the entire process on your behalf, including assessing proposed regulated activities, drafting regulatory business plans, completing all required forms and supporting documentation, advising on Senior Manager application requirements, preparing financial forecasts, reviewing ICARA and wind-down plans where necessary, and providing key compliance documents for submission. With meticulous attention to detail, we ensure accurate, efficient application submissions while offering ongoing guidance and support every step of the way.
Our team brings industry-leading expertise, with members who have served as both regulators and consultants, offering unparalleled insight into managing and processing complex applications. We work closely with clients from the outset, gathering essential information to create a tailored, comprehensive application pack that meets their specific needs. Our applications team manages the entire process on your behalf, including assessing proposed regulated activities, drafting regulatory business plans, completing all required forms and supporting documentation, advising on Senior Manager application requirements, preparing financial forecasts, reviewing ICARA and wind-down plans where necessary, and providing key compliance documents for submission. With meticulous attention to detail, we ensure accurate, efficient application submissions while offering ongoing guidance and support every step of the way.
PRODUCTS AND SERVICES
COMPLIANCE HUB
DOCUMENTS
SUPPORT
PRODUCTS
VIRTUAL FRANCHISE
At Safety Genius™, ongoing compliance support is at the heart of what we do. By fully understanding your business, our experts deliver tailored advice that balances regulatory requirements, best practices, industry standards, and commercial considerations—helping you stay compliant while supporting your growth. Our suite of compliance policies and procedures is designed for institutional investors and integrates seamlessly with your FCA obligations.
Our ongoing compliance services include:
- Provision of tailored policies and procedures
- Development and execution of a robust compliance monitoring programme
- Strategic compliance planning aligned to your business goals
- Review of marketing materials and financial promotions
- General regulatory and compliance advice
- FCA RegData reporting and FCA CONNECT filings
- Threshold disclosure reporting
- Assistance with correspondence and interactions with the FCA
- Quarterly regulatory updates and reviews