FCA Health Checks

The fastest way to get assurance that your firm is complying with all applicable regulatory requirements is to undertake a full FCA health check. Where necessary, this will also include a comprehensive list of recommended actions to bring the firm into compliance as quickly as possible.

An FCA health check consist of an end-to-end review of the firm’s compliance infrastructure and processes, including policies and procedures and other business and compliance records. This would be followed by an onsite visit, including interviews with key members of staff and walk-throughs of key systems, culminating in a detailed report of findings and recommendations.

The Greyline U.K. team has experience in undertaking such reviews for hedge funds and private equity firms of all sizes, along with other institutional alternative asset managers. This includes experience both from conducting exams on behalf of the FCA, as well as similar reviews undertaken in private practice.

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Greyline is pleased to announce that we have made the short list for the 2021 HFM U.S. Service Awards in the Best Advisory Firm and Best Technology Firm – Newcomer categories. The award winners will be announced on September 22.