Financial Regulation

A notable feature of our business is our high proportion of FCA-regulated clients.

Investment managers, private equity managers, finance houses, broker/dealers, proprietary traders, insurance brokers… all come to Throgmorton seeking the expertise that comes from being at the forefront of the regulatory environment for two decades.

Significant change has been a constant factor within the regulatory environment during recent times. It is unlikely that the pace of this change will do anything other than increase in years to come. But our clients know that we’ll be there for them with fresh advice, authoritative interpretations and positive implementation plans. 

  Our Financial Regulation specialists can assist you with:

  • Preparation of profit & loss and capital adequacy forecasts for your firm’s FCA application
  • Preparation of Pillar 1 capital adequacy calculations and FCA reporting
  • Guidance in conducting the Pillar 2 Internal Capital Adequacy Assessment Process (ICAAP)
  • Preparation of Pillar 3 capital, risk exposure and risk assessment disclosures
  • Advice on the structuring of FCA regulatory capital
  • Monitoring of regulatory capital on an ongoing basis
  • Completion of FCA financial returns, and FCA related communications

To speak to one of our Financial Regulation experts, call 0207 332 0973 or e-mail any of the following:
Ranjan Kumar                          Faher Mahmood

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"..Most importantly, their team is knowledgeable, efficient and extremely committed to excellent client service.."