SEC Examinations: What to Expect and How to Prepare
Hear from our experienced ACA Wealth experts who will discuss SEC examinations, including what to expect, what we’re seeing in the current landscape, and how to prepare.
Webcast
Investment Firm Prudential Regime (IFPR) Support
Prepare a robust prudential programme to meet new regulatory expectations.
The Investment Firm Prudential Regime (IFPR) came into force on 1 January 2022, directly impacting any group that owns an FCA authorised firm that provides MiFID investment services and activities - regardless of their location.
These new prudential rules introduce more complex and onerous capital, liquidity, reporting and governance requirements for affected firms - many are now facing requirements to maintain significantly greater levels of capital.
It's vital that impacted firms understand and implement the new requirements to stay on the right side of the regulator.
Our Solutions
Our experienced prudential team are on hand with a wide range of solutions designed to you implement and maintain your IFPR obligations. These include:
Understanding the new rules
The FCA has already published one Discussion Paper and two consultation papers on IFPR, to be followed by a third consultation paper and a final policy statement.
Rooted in a firm grasp of the detail and underlying objectives of the new regime, our IFPR Implementation Planner and other briefing documents boil these requirements down to the essential details.
Implementing the changes
We will take you step-by-step through embedding the changes into your financial control and compliance frameworks.
This will include documentation such as the new ICARA and regulatory reporting formats, revised remuneration policies, plus supporting compliance and monitoring collateral. Our aim is to support you through the changes, while causing minimal disruption to your business.
Regulatory Reporting
We offer a comprehensive reporting solution that addresses all your FCA obligations on an on-going basis.
We also offer ICARA services as well as transparency or Annex IV reporting solutions, all of which can be built into a package of compliance review services.
IFPR by the numbers
Polls conducted during ACA’s European Regulatory Horizon virtual conference in March 2021 found that:
State of readiness
4%
said they are ready and capitalised for the IFPR.
Biggest challenge
49%
feel compliance systems and resources, including the drafting of new procedures, are the most impactful area of the regime.
Greatest impact
29%
29% see increased capital requirements as having the greatest impact.
The UK’s Investment Firm Prudential Regime
13 Key Considerations for Successful Implementation
The Investment Firm Prudential Regime (IFPR) directly impacts any group that owns an FCA authorised firm that provides MiFID investment services and activities.
Time is ticking for firms to get their programmes in place. Download our checklist to find out top tips to address your obligations, ahead of the 1 January 2022 deadline.
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