Remediating
Close the gaps before someone else finds them.
An ODD finding, a new regulatory focus or a framework that has fallen behind the business. We find what matters, fix it and leave evidence that it works.
- Common triggers
- Allocator ODD findings, a change of CCO, a new strategy or venue, FCA correspondence
- What you get
- Ranked findings, a fix plan, and the fixes themselves
- How we engage
- A defined project, often followed by a retainer
What we fix
ODD remediation
Operational due diligence findings triaged, fixed and evidenced, with a response you can send back to the allocator.
Assurance reviews and gap analyses
Policies tested against activities, and monitoring tested against its plan.
Surveillance and reporting gaps
Alert logic, coverage and reporting accuracy brought up to the standard the FCA expects.
SMF separation
Unwinding founder or COO multi-hatting before it stalls a capital raise.
Risk and control framework
Risk and control self-assessment that links each risk to its control, policy, rule and owner.
Post-authorisation check
A structured review against how the FCA supervises firms after authorisation.
How it works
Step 1
Review
Documents, data and interviews against your activities and obligations.
Step 2
Prioritise
Findings ranked by regulatory and commercial risk.
Step 3
Fix
Policies, controls and monitoring corrected — by us, with your team.
Step 4
Evidence
Testing records that show the fix works, ready for an allocator or the FCA.
Questions firms ask
An allocator’s ODD flagged issues. How quickly can they be closed?
It depends on the findings, but most operational due diligence points fall into a few themes: governance, role separation, monitoring evidence and policy quality. We triage them within days and agree a plan you can share with the allocator.
What does a compliance assurance review cover?
It tests whether the framework works in practice, not just on paper: policies against activities, monitoring against its plan, and evidence against what the FCA or an allocator would ask to see. You get ranked findings and a remediation plan.
Start with a 30-minute call.
Tell James where the firm is and what it needs next. No pitch deck, no obligation.